James H. Tucker

CETERA INVESTMENT ADVISERS

Durham, NC 27707

CRD#: 1739329

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Professional summary

James Howard Tucker, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Durham, North Carolina and CETERA WEALTH SERVICES, LLC located in Southern Pines, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Howard Tucker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

June 3, 2026 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3100 Tower Blvd Suite 117, Durham, NC 27707Office #2: 225 N Bennett St #c, Southern Pines, NC 28387

RIA

CRD#: 105644

Durham, NC

Current

June 3, 2026 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 225 N Bennett St #c, Southern Pines, NC 28387Office #2: 3100 Tower Blvd Ste 117, Durham, NC 27707

CRD#: 13572

Southern Pines, NC

Past

February 15, 2013 - June 3, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

DURHAM, NC

Past

February 15, 2013 - June 3, 2026

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

DURHAM, NC

Past

June 1, 2009 - March 5, 2013

MORGAN STANLEY

RIA

CRD#: 149777

DURHAM, NC

Past

June 1, 2009 - March 5, 2013

MORGAN STANLEY

CRD#: 149777

DURHAM, NC

Past

October 9, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DURHAM, NC

Past

October 9, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DURHAM, NC

Past

May 14, 2003 - October 16, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DURHAM, NC

Past

April 23, 2003 - October 16, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

DURHAM, NC

Past

July 23, 1990 - May 5, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 19, 1988 - August 1, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(6/3/2026)

Arizona
(6/3/2026)

California
(6/3/2026)

Colorado
(6/3/2026)

Connecticut
(6/3/2026)

District of Columbia
(6/3/2026)

Florida
(6/3/2026)

Georgia
(6/3/2026)

Idaho
(6/3/2026)

Illinois
(6/3/2026)

Maryland
(6/3/2026)

Massachusetts
(6/3/2026)

Michigan
(6/3/2026)

New Jersey
(6/3/2026)

New York
(6/3/2026)

IAR

North Carolina
(6/3/2026)

North Carolina
(6/5/2026)

Ohio
(6/3/2026)

Pennsylvania
(6/3/2026)

South Carolina
(6/3/2026)

Texas
(6/3/2026)

IAR

Texas
(6/3/2026)

Utah
(6/3/2026)

Virginia
(6/3/2026)

Washington
(6/3/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/13/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/9/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/2003

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 9/27/1995

Non-Member General Securities Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report

Red Flags

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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Advisor Monitoring

Firm Stability Insights

James H. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Howard Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2003

Series 63

Date: 2/9/1988

SIE

Date: 10/1/2018

Series 7

Date: 4/22/2003

Series 2

Date: 9/27/1995

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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