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Edgar A. Thomas
TUCKER ASSET MANAGEMENT LLC
Winter Haven, FL 33880
Some features on this profile are disabled
CRD#: 2231242
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Professional summary
Edgar Allen Thomas, who also goes by Allen Thomas, Al Thomas, is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Winter Haven, Florida.
Edgar is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Edgar has worked at 13 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allen Thomas | Al Thomas
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) THOMAS ADVISORY SERVICES, INC. - 246 SANTA ROSA DRIVE, WINTER HAVEN, FL 33884-3801 (10/2005 to present) PRESIDENT & CEO: SUB-CHAPTER S CORP TO transfer all commissions, Advisory, and Fixed Insurance Products into, also State Insurance Agency is Registered into this DBA. (This is not Registered, or used as an IAR or RIA Firm), I take a salary from this Corp. based on profitability. Zero Percent of Market time spent on this activity. June 2022: additional outside business activity through Thomas Advisory Services, Inc. - Documentation consultant. Review and assist senior citizens with completing various documents related to their legal/tax/healthcare matters in coordination with their legal or tax professionals. 8 hours a month spent on this activity; bill hourly for these services; anticipate approximate annual income of $5,000. 2) Entrust Insurance; INSURANCE AGENT; FIXED INSURANCE PRODUCTS, LIFE INSURANCE, FIXED & FIXED INDEX ANNUITIES, DISABILITY & LONG TERM CARE INSURANCE PRODUCTS. 3) Jack Schroeder and Associates; INSURANCE AGENT; FIXED INSURANCE PRODUCTS, LIFE INSURANCE, FIXED & FIXED INDEX ANNUITIES, DISABILITY & LONG TERM CARE INSURANCE PRODUCTS. 4) The Brokers Network; INSURANCE AGENT; FIXED INSURANCE PRODUCTS, LIFE INSURANCE, FIXED & FIXED INDEX ANNUITIES, DISABILITY & LONG TERM CARE INSURANCE PRODUCTS. 5) Identron; August 2019; Identity theft protection program offered through AIG. May offer to clients and non-clients and paid a commission. Not securities or insurance related. 6) Midland National Life; August 2019; Life, Health, Fixed insurance. 7) Impact Partner" August 2019; Life, Health, Fixed insurance. 8) DFS Marketing; August 2019; Life, Health, Fixed insurance. 9) Advisors Solutions; August 2019; Life, Health, Fixed insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Edgar Allen Thomas'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
May 2, 2025 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 141 W. Central Ave. Suite #3, Winter Haven, FL 33880RIA
CRD#: 174844
Winter Haven, FL
Past
September 26, 2022 - May 6, 2025
COMPOUND PLANNING, INC.
RIA
CRD#: 171787
Winter Haven, FL
Past
August 24, 2016 - December 6, 2022
CLARAPHI ADVISORY NETWORK, LLC
RIA
CRD#: 165868
Winter Haven, FL
Past
August 28, 2013 - July 29, 2016
CALTON & ASSOCIATES, INC.
RIA
CRD#: 20999
Lakeland, FL
Past
August 19, 2013 - July 29, 2016
CALTON & ASSOCIATES, INC.
BD
CRD#: 20999
Lakeland, FL
Past
March 18, 2013 - August 23, 2013
CL WEALTH MANAGEMENT, LLC
RIA
CRD#: 164963
NEW YORK, NY
Past
December 20, 2012 - August 23, 2013
CABOT LODGE SECURITIES LLC
BD
CRD#: 159712
TAMPA, FL
Past
September 10, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
RIA
CRD#: 13366
LAKELAND, FL
Past
August 26, 2009 - June 20, 2012
BROOKSTONE SECURITIES, INC.
BD
CRD#: 13366
LAKELAND, FL
Past
August 24, 2009 - September 17, 2009
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
TAMPA, FL
Past
January 4, 2006 - August 21, 2009
INGRAM ADVISORY SERVICES, LLC
RIA
CRD#: 123508
WINTER HAVEN, FL
Past
January 25, 2005 - August 12, 2009
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
WINTER HAVEN, FL
Past
June 10, 1999 - December 31, 2004
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
WINTER HAVEN, FL
Past
February 18, 1999 - August 12, 2009
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WINTER HAVEN, FL
Past
June 26, 1996 - May 28, 1997
MCC SECURITIES, INC.
BD
CRD#: 36286
TAMPA, FL
Past
May 8, 1992 - January 18, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Florida(5/6/2025)
IAR
Texas(5/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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.
