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Robert Durant Tucker

CRD# 1725356·Registered 1991 - 2013
Barred: Robert Durant Tucker was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Robert Durant Tucker was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1991 - 2013. Robert had worked at 22 firms and has passed the Series 63 and Series 62 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

AVENIR FINANCIAL GROUP·CRD# 148490
BD
New York, NY
December 5, 2012 - March 18, 2013
LAMPERT CAPITAL MARKETS INC.·CRD# 103725
BD
New York, NY
January 13, 2010 - November 29, 2012
UNION FINANCIAL CORP.·CRD# 30650
BD
New York, NY
October 9, 2009 - January 14, 2010
BISHOP, ROSEN & CO., INC.·CRD# 1248
BD
New York, NY
June 17, 2008 - January 16, 2009
BRILL SECURITIES, INC.·CRD# 18565
BD
New York, NY
December 21, 2007 - June 16, 2008
PHD CAPITAL·CRD# 38785
BD
New York, NY
October 8, 2007 - December 21, 2007
PRESTIGE FINANCIAL CENTER, INC.·CRD# 30407
BD
New York, NY
January 31, 2007 - September 27, 2007
WINDSOR STREET CAPITAL, LP·CRD# 34171
BD
New York, NY
June 10, 2005 - February 5, 2007
JHS CAPITAL ADVISORS, LLC·CRD# 112097
BD
Tampa, FL
May 19, 2005 - May 27, 2005
VFINANCE INVESTMENTS, INC·CRD# 44962
BD
Boca Raton, FL
February 9, 2005 - June 9, 2005
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
Tampa, FL
September 27, 2002 - March 10, 2005
SCHNEIDER SECURITIES, INC.·CRD# 16434
BD
Denver, CO
September 17, 2001 - November 22, 2002
DPEC CAPITAL, INC.·CRD# 103737
BD
New York, NY
April 10, 2001 - August 30, 2001
BROADBAND CAPITAL MANAGEMENT, LLC·CRD# 48001
BD
New York, NY
January 8, 2001 - April 27, 2001
EASTBROOK CAPITAL GROUP LLC·CRD# 39781
BD
New York, NY
June 27, 2000 - February 2, 2001
BLUESTONE CAPITAL CORP.·CRD# 13516
BD
New York, NY
November 13, 1998 - July 25, 2000
JWGENESIS SECURITIES, INC.·CRD# 33832
BD
Boca Raton, FL
October 14, 1998 - November 6, 1998
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Boca Raton, FL
August 24, 1998 - September 29, 1998
THE BOSTON GROUP·CRD# 37652
BD
Los Angeles, CA
March 17, 1997 - July 24, 1998
AMERICORP SECURITIES, INC.·CRD# 30405
BD
New York, NY
December 1, 1995 - March 27, 1997
COMMONWEALTH ASSOCIATES·CRD# 20833
BD
New York, NY
March 22, 1993 - December 8, 1995
GKN SECURITIES CORP.·CRD# 19415
BD
New York, NY
October 31, 1991 - April 13, 1993

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Current Firm

AF
AVENIR FINANCIAL GROUP

AVENIR FINANCIAL GROUP | AVENIR FINANCIAL GROUP, INC.

CRD#: 148490 / SEC#: 8-68031
BD
Terminated by SEC on 05/11/2016

Contact Information

Established

Wyoming since 07/26/2010

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALLEN, DAVID ARTHURPASSIVE INVESTOR2500427
CLEMENTS, MICHAEL TODDCEO,CCO1702071
PASQUESI, MAUROPASSIVE INVESTOR OWNER6148602
BABOULIS, LINDAPASSIVE INVESTOR6441448
CLEMENTS, JUDITHPASSIVE INVESTOR6432441

Disclosures

Regulatory Event

4

Arbitration

3

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1991About the Series 63 exam

Series 62 — Corporate Securities Limited Representative Examination

Passed Oct 1991

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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