DT
Dennis C. Tucker
GREENWICH ADVISORS
Old Greenwich, CT
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CRD#: 2452025
DT
Professional summary
Dennis Christopher Tucker, who also goes by Chris Tucker, is a registered financial advisor currently at GREENWICH ADVISORS, LLC located in Old Greenwich, Connecticut.
Dennis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Dennis has worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris 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 Dennis Christopher 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
June 6, 2016 - Present
GREENWICH ADVISORS, LLC
RIA
CRD#: 165892
Old Greenwich, CT
Past
December 4, 2013 - December 31, 2014
GREENWICH ADVISORS, LLC
RIA
CRD#: 165892
RYE BROOK, NY
Past
October 29, 2002 - August 23, 2007
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
October 10, 1997 - July 31, 2002
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
November 15, 1996 - September 18, 1997
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
July 26, 1995 - October 28, 1996
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
March 16, 1994 - July 17, 1995
SMITH NEW COURT, INC.
BD
CRD#: 10510
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".
GA
GREENWICH ADVISORS, LLC
CHRYSAETOS CAPITAL ADVISORS, LLC | GREENWICH ADVISORS, LLC
CRD#: 165892 / SEC#: 801-130738
RIA
Registered Investment Advisory firm - (7/25/2024 Approved)California
Registered Investment Advisory firm - (9/14/2024 Terminated)Connecticut
Registered Investment Advisory firm - (8/19/2024 Terminated)New York
Registered Investment Advisory firm - (8/15/2024 Terminated)Tennessee
Registered Investment Advisory firm - (8/15/2024 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
California(8/28/2018)
IAR
Connecticut(6/6/2016)
IAR
New York(10/22/2021)
IAR
Tennessee(11/29/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 10/21/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
GA
GREENWICH ADVISORS, LLC
CHRYSAETOS CAPITAL ADVISORS, LLC | GREENWICH ADVISORS, LLC
CRD#: 165892 / SEC#: 801-130738
RIA
Registered Investment Advisory firm - (7/25/2024 Approved)California
Registered Investment Advisory firm - (9/14/2024 Terminated)Connecticut
Registered Investment Advisory firm - (8/19/2024 Terminated)New York
Registered Investment Advisory firm - (8/15/2024 Terminated)Tennessee
Registered Investment Advisory firm - (8/15/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Old Greenwich, CT
Mailing Address
500 W. Putnam Ave. Suite 400, Greenwich, CT 06830
Phone number
(203) 489-0700
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 162,827,506 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 10/10/2013 |
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.
