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Gulam A. Fazel
TUCKER ASSET MANAGEMENT LLC
Allentown, PA 18102
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CRD#: 2744200
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Professional summary
Gulam Amir Fazel is a registered financial advisor currently at TUCKER ASSET MANAGEMENT LLC located in Allentown, Pennsylvania.
Gulam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Gulam has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. USA Tax & Income Planning; Not investment-related; 1544 Hamilton St., Suite 204, Allentown, PA 18102; Tax Preparation; Managing Member; Started 9/8/2013; 16 hours/mo; 10 hours/month during securities trading hours; Tax preparation.
2. Gulam Fazel Wealth Management Group, LLC; Investment-related; 1544 Hamilton St., Suite 204, Allentown, PA 18102; DBA for RIA: Retirement Wealth Advisors; Managing Member; Started 2/8/2013; 8 hours/mo; 7 hours/month during securities trading hours; Investment Advisor Representative.
3. Global Properties Group; Investment-related; 1000 Postal Road, # 90701, Allentown, PA 18109; Holding real estate investments; Managing Member; Started 9/8/2006; 2 hours/mo; 1 hours/month during securities trading hours; Duties include property search and purchase of residences.
4. Property Access Sales Solutions, LP; Investment-related; 1000 Postal Road, # 90701, Allentown, PA 18109; Holding real estate investments; General Partner; Started 9/25/2006; 2 hours/mo; 1 hours/month during securities trading hours; Duties include property search and purchase of residences.
5. Ideal Global Brokerage, LLC; Investment-related; 1544 Hamilton St., Suite 204, Allentown, PA 18102; Insurance Agency; Managing Member; Started 09/2006; 8 hours/mo; 5 hours/month during securities trading hours; Sale of insurance products
6. Asset & Income Protection, LLC; Investment-related; Commerce Street, Suite 160/170, Lake Mary, FL 32746; Insurance Agency; Owner; Started 09/2020; 120 hours/mo; 80 hours/month during securities trading hours; Sale of fixed insurance products
CRS (Client Relationship Summary) - RIA
Click below to view Gulam Amir Fazel'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
September 9, 2019 - Present
TUCKER ASSET MANAGEMENT LLC
Office #1: 1544 Hamilton Street Suite 204, Allentown, PA 18102Office #2: 103 Commerce Street Suite 170, Lake Mary, FL 32746RIA
CRD#: 174844
Allentown, PA
Past
January 28, 2016 - September 11, 2019
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Allentown, PA
Past
December 19, 2012 - December 23, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALLENTOWN, PA
Past
December 19, 2012 - December 23, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
ALLENTOWN, PA
Past
March 14, 2011 - December 19, 2012
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ALLENTOWN, PA
Past
March 14, 2011 - December 19, 2012
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
ALLENTOWN, PA
Past
January 7, 2009 - February 16, 2011
WOODSTOCK FINANCIAL GROUP, INC.
RIA
CRD#: 38095
ALLENTOWN, PA
Past
November 6, 2008 - February 16, 2011
WOODSTOCK FINANCIAL GROUP, INC.
BD
CRD#: 38095
ALLENTOWN, PA
Past
June 10, 1996 - November 6, 2008
PFS INVESTMENTS INC.
BD
CRD#: 10111
ALLENTOWN, PA
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".
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 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
Florida(9/11/2020)
IAR
Pennsylvania(9/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TA
TUCKER ASSET MANAGEMENT LLC
TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC
CRD#: 174844 / SEC#: 801-107110
RIA
Registered Investment Advisory firm - (1/13/2016 Approved)Colorado
Registered Investment Advisory firm - (1/28/2016 Terminated)Georgia
Registered Investment Advisory firm - (2/12/2016 Terminated)Iowa
Registered Investment Advisory firm - (1/26/2016 Terminated)Louisiana
Registered Investment Advisory firm - (1/26/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (1/22/2016 Terminated)Montana
Registered Investment Advisory firm - (1/22/2016 Terminated)Nebraska
Registered Investment Advisory firm - (12/31/2015 Terminated)New Jersey
Registered Investment Advisory firm - (1/22/2016 Terminated)North Carolina
Registered Investment Advisory firm - (1/22/2016 Terminated)Ohio
Registered Investment Advisory firm - (1/22/2016 Terminated)Texas
Registered Investment Advisory firm - (1/22/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1520 West Canal Court Suite 100, Littleton, CO 80120
Mailing Address
Phone number
(303) 734-1234
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (39 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,243 |
| AUM (Assets Under Management) | $ 640,805,363 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TUCKER ASSET MANAGEMENT LLC
CRD#: 174844Allentown, PA 18102TRUST BUT VERIFY
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