Shalawn P. Tucker
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.
Shalawn Paulette Tucker, who also goes by Shalawn Paulette Jones, Shalawn Paulette Malone, Shalawn P Morris, Shalawn Paulette Morris, Shalawn Paulette Tucker, was a registered financial professional .
Shalawn is a previously registered financial professional and started their career in finance in 1998. Shalawn had worked at 15 firms and has passed the Series 63, Series 66, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2024 - October 3, 2025
CARY STREET PARTNERS
October 20, 2021 - April 5, 2024
GROVE POINT INVESTMENTS, LLC
February 3, 2021 - October 18, 2021
TRIAD ADVISORS LLC
February 3, 2021 - October 18, 2021
SECURITIES AMERICA, INC.
August 6, 2019 - October 18, 2021
WOODBURY FINANCIAL SERVICES, INC.
August 6, 2019 - October 18, 2021
OSAIC SERVICES, INC.
August 6, 2019 - October 18, 2021
OSAIC WEALTH, INC.
August 6, 2019 - October 18, 2021
FSC SECURITIES CORPORATION
January 17, 2019 - August 5, 2019
EQUITABLE ADVISORS, LLC
May 13, 2016 - November 2, 2018
SIGNATOR INVESTORS, INC.
October 7, 2009 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 22, 2009 - July 31, 2009
CHASE INVESTMENT SERVICES CORP.
September 12, 2007 - July 31, 2009
CHASE INVESTMENT SERVICES CORP.
February 7, 2007 - September 13, 2007
NATIONWIDE SECURITIES, LLC
February 7, 2007 - September 13, 2007
1717 CAPITAL MANAGEMENT COMPANY
June 12, 1998 - September 11, 1998
NATIONWIDE INVESTMENT SERVICES CORPORATION
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CARY STREET PARTNERS
CRD#: 128089 / SEC#: , 8-66085
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARY STREET PARTNERS FINANCIAL LLC | SOLE MEMBER OF BROKER-DEALER | |
| BAYNE, WALTER DONALD | PRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF | 4427332 |
| GALLUP, WESLEY HAMILTON | CHIEF OPERATING OFFICER OF CSPF | 5037007 |
| HAYES, JAIMAL CHARAN | CHIEF COMPLIANCE OFFICER OF BROKER-DEALER | 4259937 |
| MITCHELL, KEVIN LEE | HEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER | 3085157 |
| RUBIN, MATTHEW LAWRENCE | CHIEF INVESTMENT OFFICER OF CSPF | 3057508 |
| SCHMUCKLER, JOSEPH REDMOND | CHIEF EXECUTIVE OFFICER OF CSPF | 1156472 |
| TULLIDGE, THOMAS HOGSHEAD JR | SECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF | 2858022 |
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.
