Lloyd T. Gucker
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.
Lloyd Thompson Gucker, who also goes by Lloyd T Gucker, was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 1996. Lloyd had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2006 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 30, 2004 - January 11, 2021
TD AMERITRADE, INC.
August 30, 2004 - January 11, 2021
TD AMERITRADE, INC.
July 1, 2003 - August 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - August 27, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 9, 1996 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
