David N. Tucker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Neil Tucker, who also goes by Dave Tucker, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2016 - January 28, 2022
UNITED CAPITAL FINANCIAL ADVISORS
April 29, 2016 - October 23, 2017
GIRARD SECURITIES, INC.
December 6, 2004 - May 12, 2016
LPL FINANCIAL LLC
December 6, 2004 - May 12, 2016
LPL FINANCIAL LLC
September 1, 2000 - December 17, 2004
OSAIC FA, INC.
August 18, 2000 - December 17, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 18, 2000 - December 17, 2004
OSAIC FA, INC.
November 29, 1998 - August 4, 2000
SII INVESTMENTS, INC.
August 1, 1995 - November 13, 1998
VOYA FINANCIAL ADVISORS, INC.
April 24, 1995 - August 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
February 29, 1988 - April 6, 1995
NEW ENGLAND SECURITIES
February 28, 1988 - April 6, 1995
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
