Bobby T. Tucker

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CRD#: 450079

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.

Bobby Terrell Tucker, who also goes by Terry Tucker, was a registered financial professional .

Bobby is a previously registered financial professional and started their career in finance in 1982. Bobby had worked at 4 firms and has passed the Series 63, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Terry Tucker

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 2, 2017 - October 22, 2021

GREENWICH ADVISORS, LLC

RIA

CRD#: 165892

CHATTANOOGA, TN

Past

January 3, 2014 - March 17, 2017

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CHATTANOOGA, TN

Past

January 2, 2014 - March 17, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

CHATTANOOGA, TN

Past

February 17, 2004 - December 31, 2013

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

CHATTANOOGA, TN

Past

July 19, 1990 - December 31, 2013

SECURITIES AMERICA, INC.

CRD#: 10205

CHATTANOOGA, TN

Past

September 23, 1982 - December 4, 1990

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

GREENWICH ADVISORS, LLC

CHRYSAETOS CAPITAL ADVISORS, LLC | GREENWICH ADVISORS, LLC

CRD#: 165892 / SEC#: 801-130738

RIA

Registered Investment Advisory firm - (7/25/2024 Approved)

California

Registered Investment Advisory firm - (9/14/2024 Terminated)

Connecticut

Registered Investment Advisory firm - (8/19/2024 Terminated)

New York

Registered Investment Advisory firm - (8/15/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (8/15/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 5/11/1971

Registered Representative Examination

Current Firm

GREENWICH ADVISORS, LLC

CHRYSAETOS CAPITAL ADVISORS, LLC | GREENWICH ADVISORS, LLC

CRD#: 165892 / SEC#: 801-130738

RIA

Registered Investment Advisory firm - (7/25/2024 Approved)

California

Registered Investment Advisory firm - (9/14/2024 Terminated)

Connecticut

Registered Investment Advisory firm - (8/19/2024 Terminated)

New York

Registered Investment Advisory firm - (8/15/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (8/15/2024 Terminated)

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Contact information

Main Address

Old Greenwich, CT

Mailing Address

500 W. Putnam Ave. Suite 400, Greenwich, CT 06830

Phone number

(203) 489-0700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 162,827,506

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	10/10/2013

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.

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Firm Stability Insights

Bobby T. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

GREENWICH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/1984

SIE

Date: 3/17/2017

Series 1

Date: 5/11/1971

Current Firm

GREENWICH ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

GREENWICH ADVISORS, LLC

TRUST BUT VERIFY

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