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DT

Deborah W. Tucker

CAPFINANCIAL SECURITIES.
Tampa, FL 33602
Some features on this profile are disabled
CRD#: 2068400
DT

Professional summary

Deborah Wells Tucker, who also goes by Deborah Wells Tucker Mrs, Deborah Wells Tucker, Deborah Kay Wells, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in Tampa, Florida.

Deborah is registered as a RR (Registered Representative) and started their career in finance in 1990. Deborah has worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Deborah Wells Tucker Mrs | Deborah Wells Tucker | Deborah Kay Wells

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) - BD

Click below to view Deborah Wells 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®
None

Experience

Current

July 26, 2018 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 400 N Tampa St Suite 1800, Tampa, FL 33602
BD
CRD#: 126291
Tampa, FL
Past

July 17, 2017 - May 21, 2018

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

January 27, 2015 - June 5, 2017

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

December 3, 2008 - January 21, 2015

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

August 26, 2005 - October 9, 2008

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
TAMPA, FL
Past

February 24, 2005 - October 9, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
TAMPA, FL
Past

November 1, 1999 - October 11, 2004

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

January 1, 1998 - September 10, 1999

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

August 26, 1991 - January 1, 1998

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

July 11, 1990 - August 7, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Florida
(7/27/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/24/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/5/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/9/1990
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPFINANCIAL SECURITIES, LLC.
CAPFI INSURANCE SERVICES LLC | FREEDOM ONE | DEFINED CONTRIBUTION ADVISORS INC OR DCADVISORS | CFS SECURITIES, LLC | CAPTRUST FINANCIAL ADVISORS OR "CAPTRUST" | CAPTRUST FINANCIAL ADVISORS | CAPTRUST | CAPFINANCIAL SECURITIES, LLC. | CAPFINANCIAL PARTNERS, LLC

CRD#: 126291 / SEC#: , 8-65870

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Mailing Address
4208 Six Forks Road, Suite 1700, Raleigh, NC 27609
Phone number
(919) 870-6822
Established
North Carolina since 11/21/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
THE CAPFINANCIAL GROUP, LLCMEMBER
BUCHANAN, DENISE MCGEECCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO1284353
EARLS, MARY CHRISTINESENIOR DIRECTOR/FINOP6178047
HOYLE, WILSON SMITH IIIMANAGING DIRECTOR2444392
SHOFF, DERICK DONMANAGING DIRECTOR1140640
STROTHER, MICHAEL DAVIDSENIOR DIRECTOR, FINOP2457427

Disclosures

Regulatory Event1

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.

Company Information

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291Tampa, FL 33602

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