Samuel P. Tucker

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CRD#: 6764002

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.

Samuel Paul Tucker, who also goes by Sam Tucker, Samuel Paul Tucker, Samuel Tucker, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2018. Samuel had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sam Tucker | Samuel Paul Tucker | Samuel 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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

September 13, 2024 - July 22, 2025

MDRN CAPITAL

RIA

CRD#: 325950

Longwood, FL

Past

October 20, 2021 - August 20, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

JACKSONVILLE, FL

Past

October 12, 2021 - August 20, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

October 16, 2019 - August 23, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

McKinney, TX

Past

October 16, 2019 - August 23, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DALLAS, TX

Past

February 12, 2019 - August 2, 2019

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

MAITLAND, FL

Past

August 13, 2018 - August 2, 2019

PRINCIPAL SECURITIES, INC.

CRD#: 1137

MAITLAND, FL

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".

MDRN CAPITAL

MDRN CAPITAL | MDRN CAPITAL, LLC

CRD#: 325950 / SEC#: 801-130784

RIA

Registered Investment Advisory firm - (7/29/2024 Approved)

Florida

Registered Investment Advisory firm - (8/21/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (9/17/2024 Terminated)

Maryland

Registered Investment Advisory firm - (8/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (8/30/2024 Terminated)

Missouri

Registered Investment Advisory firm - (8/21/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (8/22/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/21/2024 Terminated)

Utah

Registered Investment Advisory firm - (8/21/2024 Terminated)

Virginia

Registered Investment Advisory firm - (8/24/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 1/23/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2018

General Securities Representative Examination

Current Firm

MDRN CAPITAL

MDRN CAPITAL | MDRN CAPITAL, LLC

CRD#: 325950 / SEC#: 801-130784

RIA

Registered Investment Advisory firm - (7/29/2024 Approved)

Florida

Registered Investment Advisory firm - (8/21/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (9/17/2024 Terminated)

Maryland

Registered Investment Advisory firm - (8/26/2024 Terminated)

Michigan

Registered Investment Advisory firm - (8/30/2024 Terminated)

Missouri

Registered Investment Advisory firm - (8/21/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (8/22/2024 Terminated)

Ohio

Registered Investment Advisory firm - (8/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (8/21/2024 Terminated)

Utah

Registered Investment Advisory firm - (8/21/2024 Terminated)

Virginia

Registered Investment Advisory firm - (8/24/2024 Terminated)

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Contact information

Main Address

1997 Annapolis Exchange Parkway Suite 300, Annapolis, MD 21401

Mailing Address

Phone number

(410) 533-9966

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE, BROCHURE SUPPLEMENT AND PRIVACY POLICY (2/11/2026)

Regulatory assets under management

Total Number of Accounts	1,977
AUM (Assets Under Management)	$ 338,630,429

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

Samuel P. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

MDRN CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2019

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2018

Current Firm

MDRN CAPITAL

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MDRN CAPITAL

TRUST BUT VERIFY

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