Zachary C. Tucker

SMITH CAPITAL INVESTORS

Denver, CO 80202-1316

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CRD#: 5020159

Professional summary

Zachary Carl Tucker, who also goes by Zach Tucker, Zachary Tucker, is a registered financial advisor currently at SMITH CAPITAL INVESTORS, LLC located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Zachary has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Zach Tucker | Zachary 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.

1. Smith Capital Investors, LLC.; Investment-Related; 1430 Blake St., Denver, CO 80202; investment Management; Investor; 08/02/2018; 200 Hrs/Mon; 130 Hrs/Mon During trading hours. 2. Citybridge Consulting, LLC.; Not Investment-Related; Address On File; Consulting for Real Estate Development and Planning; Spouse's Business - No Position; 03/21/2024; 0 Hrs/Mon; None during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Carl 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

July 23, 2019 - Present

SMITH CAPITAL INVESTORS, LLC

Office #1: 1430 Blake Street, Denver, CO 80202-1316

RIA

CRD#: 294402

Denver, CO

Current

August 3, 2018 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1430 Blake Street, Denver, CO 80202

CRD#: 16853

Denver, CO

Past

August 17, 2016 - October 5, 2017

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

May 22, 2014 - September 7, 2016

ARBOR RESEARCH & TRADING, LLC

CRD#: 21313

NEW YORK CITY, NY

Past

September 20, 2010 - February 13, 2014

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 12, 2009 - September 21, 2010

PIPER SANDLER & CO.

CRD#: 665

NEW YORK, NY

Past

October 4, 2005 - February 12, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

SMITH CAPITAL INVESTORS, LLC

CRD#: 294402 / SEC#: 801-113172

RIA

Registered Investment Advisory firm - (5/17/2018 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(8/3/2018)

Colorado
(8/3/2018)

IAR

Colorado
(7/23/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/7/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 10/24/2005

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/1/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/6/2010

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SMITH CAPITAL INVESTORS, LLC

CRD#: 294402 / SEC#: 801-113172

RIA

Registered Investment Advisory firm - (5/17/2018 Approved)

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Contact information

Main Address

1430 Blake Street, Denver, CO 80202-1316

Mailing Address

Phone number

(303) 597-5555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 12,449,307,906

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

Zachary C. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Zachary Carl Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

CANTOR FITZGERALD & CO.

ARBOR RESEARCH & TRADING, LLC

CREDIT SUISSE SECURITIES (USA) LLC

PIPER SANDLER & CO.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SMITH CAPITAL INVESTORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2019

Series 63

Date: 11/1/2005

SIE

Date: 10/1/2018

Series 55

Date: 11/7/2005

Series 3

Date: 10/24/2005

Series 7

Date: 10/1/2005

Series 53

Date: 12/6/2010

FINRA

Current Firm

SMITH CAPITAL INVESTORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

SMITH CAPITAL INVESTORS, LLC

TRUST BUT VERIFY

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