Shelby G. Tucker
Professional summary
Shelby Gardner Tucker, CFA, who also goes by Shelby Gardner Tucker, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Shelby is registered as a RR (Registered Representative) and started their career in finance in 1996. Shelby has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shelby Gardner Tucker's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2025 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017March 2, 2011 - April 29, 2025
RBC CAPITAL MARKETS, LLC
March 30, 2009 - January 26, 2011
OPPENHEIMER & CO. INC.
June 18, 1998 - March 12, 2009
BANC OF AMERICA SECURITIES LLC
November 14, 1997 - June 22, 1998
CITICORP SECURITIES, INC.
April 2, 1996 - November 28, 1997
UBS SECURITIES 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
(4/23/2025)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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