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Tucker W. Brockhoff

Some features on this profile are disabled
CRD#: 2647437
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Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tucker William Brockhoff was a registered financial professional .

Tucker is a previously registered financial professional and started their career in finance in 1995. Tucker had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 6, 2008 - April 1, 2014

SEA BLUFF CAPITAL, LLC

RIA
CRD#: 147528
SAN DIEGO, CA
Past

July 14, 2005 - August 8, 2007

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA
Past

September 1, 1998 - April 11, 2000

ROBERTSON STEPHENS, INC.

BD
CRD#: 41271
SAN FRANCISCO, CA
Past

October 1, 1997 - September 1, 1998

BANCAMERICA SECURITIES, INC.

BD
CRD#: 17977
SAN FRANCISCO, CA
Past

December 10, 1996 - October 1, 1997

ROBERTSON, STEPHENS & COMPANY LLC

BD
CRD#: 7730
SAN FRANCISCO, CA
Past

October 4, 1995 - December 4, 1996

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/17/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/13/2005
General Securities Representative Examination

Current Firm

SB
SEA BLUFF CAPITAL, LLC
SEA BLUFF CAPITAL, LLC

CRD#: 147528 / SEC#: 802-81104

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Contact information

Main Address
12526 High Bluff Dr. Suite 300, San Diego, CA 92130
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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 / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn2/4/2021
CaliforniaERA - Withdrawn2/4/2021

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

SEA BLUFF CAPITAL, LLC

CRD#: 147528

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