Thomas A. 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.
Thomas Alan Tucker, who also goes by Tom Tucker, Tommy Tucker, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1972. Thomas had worked at 8 firms and has passed the Series 63, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1997 - September 28, 1999
JOHNSON RESEARCH & CAPITAL INCORPORATED
October 19, 1995 - July 8, 2019
TUCKER INVESTMENT ADVISORS, INC
April 13, 1993 - December 31, 1996
CUTTER & COMPANY, INC.
November 21, 1989 - June 10, 1991
PAULI & COMPANY, INC
December 4, 1986 - October 13, 1989
TEXOMA SECURITIES, INC.
July 30, 1986 - December 22, 1986
T.L. SMITH SECURITIES
March 3, 1972 - January 26, 1979
REINHOLDT & GARDNER INCORPORATED
February 19, 1972 - September 4, 1984
RAUSCHER PIERCE REFSNES, 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
Exams
Series 000
Date: 2/19/1972
General Securities Principal ExaminationSeries 1
Date: 2/19/1972
Registered Representative ExaminationSeries 40
Date: 10/14/1978
Registered Principal ExaminationCurrent Firm
JOHNSON RESEARCH & CAPITAL INCORPORATED
CRD#: 4343 / SEC#: , 8-15268
Contact information
Documents
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.
