CT
Caleb Tucker
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CRD#: 5933841
CT
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.
Caleb Tucker, who also goes by Caleb Alexander Tucker, Caleb Tucker, was a registered financial professional .
Caleb is a previously registered financial professional and started their career in finance in 2011. Caleb had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caleb Alexander Tucker | Caleb 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. 1/25/2021 - No Business Name - Investment Related - Big Canoe, GA 30143 - Real Estate Rental - Started 02/17/2021 - 4 Hours Per Month/0 Hours During Securities Trading - Short term rental property. 2. 7/16/2021 - Merit Financial Advisors - DBA: (Hybrid) Merit - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 07/01/2021 - 10 Hours Per Month During Securities Trading. 3. 7/16/2021 - Merit Financial Advisors - DBA: (Hybrid) Merit Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 07/01/2021 - 10 Hours Per Month During Securities Trading. 4. 7/16/2021 - Merit Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/01/2021 - 10 Hours Per Month During Securities Trading - I provide investment advisory services through Merit Financial Advisors, an independent investment advisor firm. I started this business activity in 07/2021. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 8/5/2021 - Merit - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2021 - 10 Hours Per Month During Securities Trading. 6. 8/5/2021 - Merit Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2021 - 10 Hours Per Month During Securities Trading. 7. 08/18/2022 - Stone Creek Capital Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Administrative - Start Date - 01/03/2022 - 1 Hours Per Month/1 Hours During Securities Trading - I provide administrative support to Stone Creek Capital Management, an independent investment advisor firm. I started this business activity in 1/3/2022. I expect to spend approximately one hour per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
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®
NoneExperience
Past
July 20, 2021 - September 21, 2023
MERIT FINANCIAL ADVISORS
RIA
CRD#: 142457
ALPHARETTA, GA
Past
August 12, 2019 - July 1, 2021
WELLSPRING WEALTH MANAGEMENT LLC
RIA
CRD#: 134834
Alpharetta, GA
Past
May 31, 2019 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALPHARETTA, GA
Past
May 21, 2019 - October 10, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ALPHARETTA, GA
Past
December 20, 2017 - May 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
December 19, 2017 - May 22, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
May 14, 2013 - October 4, 2017
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ATLANTA, GA
Past
May 13, 2013 - October 4, 2017
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ALPHARETTA, GA
Past
March 26, 2012 - April 10, 2012
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
July 27, 2011 - September 29, 2011
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
MERIT FINANCIAL ADVISORS
ALLEGIANCE ADVANTAGE GROUP | WORKSITE FINANCIAL WELLNESS | WEALTH REALM | UNION FINANCIAL ADVISORS | THE RETIREMENT COACH | THE MERIT RETIREMENT ADVANTAGE | THE FAMILY HUG | SIMPLIFIED FINANCIAL | SHARP ADVISORS | SAFEGUARD WEALTH MANAGEMENT | REASON FINANCIAL | PRICE FINANCIAL GROUP | PIONEER FINANCIAL | NEXTSTAGE CONSULTING | MERSBERGER FINANCIAL GROUP | MERIT WEALTH ADVISORS | MERIT FINANCIAL INC | MERIT FINANCIAL GROUP, LLC | MERIT FINANCIAL ADVISORS LLC | MERIT FINANCIAL ADVISORS | MERIT 401(K) MAXIMIZER | MERIT | KIRSCH & ASSOCIATES | KING FINANCIAL PARTNERS | INDEPENDENT ADVISOR PARTNERS | GUIDED CAPITAL WEALTH MANAGEMENT | GLOBAL WEALTH ADVISORS | FINANCIAL DEVELOPMENT SYSTEMS | FIDUCIARY SERVICES | CPA RETIREMENT NETWORK | CONSILIUM FINANCIAL GROUP | CONSILIUM ASSOCIATES | BOTSFORD PRIVATE WEALTH | BOTSFORD FINANCIAL GROUP | BOTSFORD FINANCIAL | BLUHAWK WEALTH MANAGEMENT | BAUTZ FAMILY FINANCIAL | ALLEGIANCE RETIREMENT SOLUTIONS | ALLEGIANCE FINANCIAL STRATEGIES GROUP
CRD#: 142457 / SEC#: 801-67462
RIA
Registered Investment Advisory firm - (1/31/2007 Approved)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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERIT FINANCIAL ADVISORS
ALLEGIANCE ADVANTAGE GROUP | WORKSITE FINANCIAL WELLNESS | WEALTH REALM | UNION FINANCIAL ADVISORS | THE RETIREMENT COACH | THE MERIT RETIREMENT ADVANTAGE | THE FAMILY HUG | SIMPLIFIED FINANCIAL | SHARP ADVISORS | SAFEGUARD WEALTH MANAGEMENT | REASON FINANCIAL | PRICE FINANCIAL GROUP | PIONEER FINANCIAL | NEXTSTAGE CONSULTING | MERSBERGER FINANCIAL GROUP | MERIT WEALTH ADVISORS | MERIT FINANCIAL INC | MERIT FINANCIAL GROUP, LLC | MERIT FINANCIAL ADVISORS LLC | MERIT FINANCIAL ADVISORS | MERIT 401(K) MAXIMIZER | MERIT | KIRSCH & ASSOCIATES | KING FINANCIAL PARTNERS | INDEPENDENT ADVISOR PARTNERS | GUIDED CAPITAL WEALTH MANAGEMENT | GLOBAL WEALTH ADVISORS | FINANCIAL DEVELOPMENT SYSTEMS | FIDUCIARY SERVICES | CPA RETIREMENT NETWORK | CONSILIUM FINANCIAL GROUP | CONSILIUM ASSOCIATES | BOTSFORD PRIVATE WEALTH | BOTSFORD FINANCIAL GROUP | BOTSFORD FINANCIAL | BLUHAWK WEALTH MANAGEMENT | BAUTZ FAMILY FINANCIAL | ALLEGIANCE RETIREMENT SOLUTIONS | ALLEGIANCE FINANCIAL STRATEGIES GROUP
CRD#: 142457 / SEC#: 801-67462
RIA
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Contact information
Main Address
2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009
Mailing Address
Phone number
(678) 867-7050
Established
Firm type
Fiscal year end
# of Employees
279
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31,882 |
| AUM (Assets Under Management) | $ 10,576,048,244 |
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.
