Dewey S. Tucker

EXOS ASSET MANAGEMENT LLC

NEW YORK, NY 10001

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CRD#: 4912568

Professional summary

Dewey Stanton Tucker is a registered financial advisor currently at EXOS ASSET MANAGEMENT LLC located in New York, New York and EXOS SECURITIES LLC located in New York, New York.

Dewey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Dewey has worked at 5 firms and has passed the Series 66, Series 82TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Head of Trading Strategies, Exos Capital LLC, invest related, NY, 2018, invests and trading business, 10 hrs /per month - 10 during trading hrs; Portfolio Manager, Exos Asset Management LLC, invest related, NY, 2020 asset mgmt business; 80 hrs/mo - 4 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dewey Stanton Tucker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 13, 2024 - Present

EXOS ASSET MANAGEMENT LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

RIA

CRD#: 305706

NEW YORK, NY

Current

February 13, 2019 - Present

EXOS SECURITIES LLC

Office #1: 35 W 35th Street Fifth Floor, New York, NY 10001

CRD#: 298276

NEW YORK, NY

Past

March 3, 2023 - December 31, 2023

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

NEW YORK, NY

Past

January 11, 2022 - December 31, 2022

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

NEW YORK, NY

Past

July 1, 2021 - December 31, 2021

EXOS ASSET MANAGEMENT LLC

RIA

CRD#: 305706

NEW YORK, NY

Past

October 23, 2013 - June 11, 2014

OCTEG, LLC

CRD#: 117429

NEW YORK, NY

Past

July 2, 2012 - March 10, 2017

VIRTU AMERICAS LLC

CRD#: 149823

New York, NY

Past

May 17, 2010 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

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".

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(3/13/2024)

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

IAR

Series 66

Date: 11/9/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 3/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/26/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/14/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/5/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

CRD#: 305706 / SEC#: 801-119726

RIA

Registered Investment Advisory firm - (11/2/2020 Approved)

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Contact information

Main Address

35 W 35th Street Fifth Floor, New York, NY 10001

Mailing Address

Phone number

(646) 814-0996

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EXOS ASSET MANAGEMENT LLC (2025) (2/27/2025)

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 99,530,296

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	10/1/2020

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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Advisor Monitoring

Firm Stability Insights

Dewey S. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dewey Stanton Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXOS SECURITIES LLC

EXOS ASSET MANAGEMENT LLC

EXOS ASSET MANAGEMENT LLC

EXOS ASSET MANAGEMENT LLC

OCTEG, LLC

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

Primary Firm SEC Registration

EXOS ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2020

Series 82TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 3/10/2017

Series 55

Date: 8/26/2010

Series 7

Date: 4/14/2010

Series 24

Date: 8/5/2010

FINRA

Current Firm

EXOS ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

EXOS ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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