David C. Tucker
Professional summary
David Carlton Tucker, who also goes by David Tucker, is a registered financial professional currently at SAMUEL A. RAMIREZ & COMPANY, INC. located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Carlton Tucker's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2025 - Present
SAMUEL A. RAMIREZ & COMPANY, INC.
Office #1: 14 East 52nd Street, New York, NY 10022July 11, 2024 - April 29, 2025
QUASAR DISTRIBUTORS, LLC
May 30, 2023 - May 7, 2024
FORESIDE FUND SERVICES, LLC
July 14, 2015 - January 8, 2018
HEARTWOOD FUNDS
December 18, 2013 - December 31, 2014
HEARTWOOD FUNDS
December 2, 2013 - January 2, 2018
ALPS DISTRIBUTORS, INC.
August 3, 2011 - November 26, 2013
ADVISORY RESEARCH INC
June 1, 2011 - November 15, 2013
PIPER SANDLER & CO.
May 13, 2010 - July 15, 2010
QUASAR DISTRIBUTORS, LLC
November 11, 2008 - July 7, 2009
GUARDIAN INVESTOR SERVICES LLC
April 4, 2008 - November 5, 2008
VOYA INVESTMENT MANAGEMENT CO. LLC
January 9, 2007 - November 5, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
August 29, 2001 - January 12, 2007
ING INVESTMENT MANAGEMENT SERVICES LLC
December 1, 1999 - September 6, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 17, 1999 - October 29, 1999
NORTHSTAR DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/21/2025)
(8/21/2025)
(8/21/2025)
(8/25/2025)
(8/21/2025)
(8/22/2025)
(8/21/2025)
(8/21/2025)
Exams
FINRA
Current Firm
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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