James K. 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.
James Kavanaugh Tucker, who also goes by Kavanaugh Tucker, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2013 - December 31, 2024
THE LEADERS GROUP, INC.
August 11, 2011 - May 10, 2013
P.J. ROBB VARIABLE, LLC
January 8, 2008 - April 12, 2010
CREDIT SUISSE SECURITIES (USA) LLC
January 7, 2008 - April 12, 2010
CREDIT SUISSE SECURITIES (USA) LLC
August 11, 2006 - January 14, 2008
KESTRA INVESTMENT SERVICES, LLC
July 28, 2006 - January 14, 2008
KESTRA INVESTMENT SERVICES, LLC
August 12, 2004 - January 17, 2006
THE LEADERS GROUP, INC.
April 3, 2001 - September 30, 2004
HORNOR, TOWNSEND & KENT, LLC
March 20, 2001 - September 30, 2004
HORNOR, TOWNSEND & KENT, LLC
August 28, 2000 - December 21, 2000
PRUCO 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
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
