ST
Steve A. Tucker
CETERA INVESTMENT ADVISERS LLC
FLORENCE, AL 35630
Some features on this profile are disabled
CRD#: 6168729
ST
Professional summary
Steve Alan Tucker Jr, who also goes by Steve Alan Tucker Jr., Steve Alan Tucker, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Florence, Alabama and CETERA WEALTH SERVICES, LLC located in Florence, Alabama.
Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Steve has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Alan Tucker Jr. | Steve Alan 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.
CONCOURSE FINANCIAL GROUP AGENCY INC; Investment Related; 409 N Court Street, Suite 4, Florence, AL 35630; Insurance; Independent Producer; Start Date 10/2015; 20 hours per month with 2 hours per month occurring during trading hours; Sales and service of varied insurance products with varied carriers including Mass Mutual. >> STJ ADVISING; Non-Investment Related; Florence, AL; Website; Owner; Start Date 07/2016; 1 hour per month with no hours per month during trading hours; Maintain website (http://www.stjadvising.com) by adding general information about the insurance products/services that I offer through my broker/dealer, Concourse Financial Group Securities Inc. I do not do business as (dba) STJ Advising. STJ are my initials (Steve Tucker Jr) and Advising is a good term for how I help clients.
CRS (Client Relationship Summary) - RIA
Click below to view Steve Alan Tucker Jr's 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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2975 Hough Road, Florence, AL 35630RIA
CRD#: 105644
FLORENCE, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 409 N Court Street Suite 4, Florence, AL 35630BD
CRD#: 13572
Florence, AL
Past
August 11, 2016 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Florence, AL
Past
November 16, 2015 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Florence, AL
Past
April 23, 2013 - October 19, 2015
PFS INVESTMENTS INC.
BD
CRD#: 10111
BIRMINGHAM, AL
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.RR
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
RR
Alabama(2/20/2025)
IAR
Alabama(2/20/2025)
RR
Mississippi(2/20/2025)
RR
Tennessee(3/7/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
