Jess G. 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.
Jess Gove Tucker III, who also goes by Jess Gove Tucker, was a registered financial professional .
Jess is a previously registered financial professional and started their career in finance in 1965. Jess had worked at 1 firm and has passed the Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 1965 - February 8, 2008
JAMES I. BLACK & COMPANY
Primary Firm SEC Registration
JAMES I. BLACK & COMPANY
CRD#: 1249 / SEC#: 801-118955, 8-12077
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 5
Date: 11/13/1981
Interest Rate Options ExaminationSeries 1
Date: 6/24/1965
Registered Representative ExaminationCurrent Firm
JAMES I. BLACK & COMPANY
CRD#: 1249 / SEC#: 801-118955, 8-12077
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACK, GERALD LEROY | PRESIDENT AND DIRECTOR | 811414 |
| BLACK, JAMES ISSAC III | OWNER | |
| CHARLES, REBECCA B | OWNER | |
| LYONS, DORIS BLACK | TREASURER | |
| BLACK, JENNIFER LEIGH | OWNER | 6400578 |
| BLACK, KATHARINE ANN | OWNER | 6400616 |
| BLACK, STEPHANIE MARIE | OWNER | 6395469 |
| DEAN, JEFFREY MILLER | DIRECTOR | |
| STEADMAN, NATASHA LYNN | CHIEF COMPLIANCE OFFICER | 5161387 |
Regulatory assets under management
| Total Number of Accounts | 138 |
| AUM (Assets Under Management) | $ 142,580,974 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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