WT
William G. Tucker
LPL ENTERPRISE
HOLMDEL, NJ 07733
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CRD#: 2262469
WT
Professional summary
William Gerard Tucker, who also goes by Bill Tucker, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Holmdel, New Jersey.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. William has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bill Tucker
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.
CRS (Client Relationship Summary) - RIA
Click below to view William Gerard Tucker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Gerard Tucker'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
March 16, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 101 Crawfords Corner Rd Suite 2409, Holmdel, NJ 07733RIA
BD
CRD#: 8733
HOLMDEL, NJ
Current
March 16, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 101 Crawfords Corner Rd Suite 2409, Holmdel, NJ 07733RIA
BD
CRD#: 8733
HOLMDEL, NJ
Past
October 24, 2025 - March 17, 2026
WORLD INVESTMENT ADVISORS, LLC
RIA
CRD#: 208512
WEST DEPTFORD, NJ
Past
May 3, 2010 - December 3, 2025
WORLD INVESTMENTS, LLC
RIA
CRD#: 20626
TURNERSVILLE, NJ
Past
May 3, 2010 - March 17, 2026
WORLD INVESTMENTS, LLC
BD
CRD#: 20626
TURNERSVILLE, NJ
Past
February 24, 2004 - May 27, 2010
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
VOORHEES, NJ
Past
February 20, 2004 - September 30, 2004
THE ADVISORS GROUP, INC.
RIA
CRD#: 14035
CHERRY HILL, NJ
Past
October 27, 2003 - May 27, 2010
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
VOORHEES, NJ
Past
September 16, 2003 - October 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PHILADELPHIA, PA
Past
October 1, 1999 - October 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
February 25, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
August 31, 1992 - February 25, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.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(3/16/2026)
RR
New Jersey(3/16/2026)
IAR
New Jersey(3/16/2026)
RR
New York(3/16/2026)
RR
Pennsylvania(3/16/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
