Thailia C. Tucker
Professional summary
Thailia Cason Tucker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thailia is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Thailia had worked at 6 firms, which includes LEVELX CAPITAL LLC, WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., RAYMOND JAMES & ASSOCIATES INC., MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2007 - December 11, 2007
LEVELX CAPITAL LLC
October 1, 2000 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - April 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
December 9, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 27, 1997 - August 4, 1998
RAYMOND JAMES & ASSOCIATES, INC.
April 6, 1994 - November 19, 1997
MORGAN STANLEY DW INC.
September 24, 1987 - March 31, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 8/8/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEVELX CAPITAL LLC
CRD#: 117028 / SEC#: , 8-53580
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Criminal | 1 |
Red Flags
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