Stephen W. Tucker
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.
Stephen Wayne Tucker, who also goes by Wayne Tucker, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2006 - December 31, 2013
SOUTHEAST INVESTMENTS, N.C., INC.
August 4, 2005 - February 9, 2006
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 31, 2002 - July 28, 2005
SOUTHEAST INVESTMENTS, N.C., INC.
December 31, 2001 - May 3, 2002
UBS FINANCIAL SERVICES INC.
August 14, 2000 - May 3, 2002
UBS FINANCIAL SERVICES INC.
October 19, 1998 - August 14, 2000
J.C. BRADFORD & CO.
November 29, 1993 - October 16, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - December 2, 1993
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
March 30, 1983 - February 15, 1988
E. F. HUTTON & COMPANY INC
December 1, 1980 - March 8, 1983
MARION BASS SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/1/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
