JH
Jay C. Henson
TUCKER ASSET MANAGEMENT LLC
Spencer, IN 47460
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CRD#: 2216115
JH
Professional summary
Jay Corbett Henson, who also goes by Jay C Henson, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Spencer, Indiana.
Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Jay has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay C Henson
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.
1. EXCHANGE CLUB SPENCER, IN 47460, MEMBER, COMMUNITY SERVICE, PREVENTION OF CHILD ABUSE. START 10/9/15.
Approx. 2 hrs/mo, INCOME 0%. 2. Henson Insurance & Financial Investments, LLC - investment related, Owner, Sale of Life,
Health, Disability and Fixed Annuities. Start date: 10/9/15. Approx. 80 hrs/mo, during normal business hours. 3. ECONOMIC
DEVELOPMENT CORP. THE EDC IS TO BRING IN NEW BUSINESS INTO OWEN COUNTY. SUB-COMMITTEE OF ECONOMIC
DEVELOPMENT: REDEVELOPMENT BOARD. WE OVERSEE THE PROCESS OF BRINGING IN NEW BUSINESS TO OWEN COUNTY.
Also, Vice President for Redevelopment Committee. Start date: 10/9/15, approx. 1 hr/mo.
CRS (Client Relationship Summary) - RIA
Click below to view Jay Corbett Henson's 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®
NoneExperience
Current
November 1, 2019 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 205 E Morgan Street Ste A Po Box 267, Spencer, IN 47460RIA
CRD#: 174844
Spencer, IN
Past
October 7, 2010 - October 31, 2019
SPC
RIA
CRD#: 110692
SPENCER, IN
Past
October 7, 2010 - October 31, 2019
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
SPENCER, IN
Past
June 30, 2005 - October 6, 2010
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
SPENCER, IN
Past
May 28, 2004 - October 6, 2010
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
SPENCER, IN
Past
July 16, 2003 - June 17, 2004
WINEBRENNER CAPITAL PARTNERS, LLC
BD
CRD#: 48027
LOUISVILLE, KY
Past
May 16, 1997 - July 7, 2003
RE-DIRECT SECURITIES CORP
BD
CRD#: 35518
VILLA PARK, IL
Past
November 27, 1995 - April 18, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
March 18, 1992 - September 27, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 18, 1992 - September 27, 1993
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)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.Highlighted states indicate IAR registrations
IAR
Indiana(11/1/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844Spencer, IN 47460TRUST BUT VERIFY
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Contact information
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