Thomas Elliott Tucker
Professional Summary
Thomas Elliott Tucker, who also goes by Tom Tucker, Tommy Tucker, is a registered financial advisor currently at CHAMPION ADVISORS LLC located in Houston, Texas and HENRY BRAGG & CO. located in Houston, Texas. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1975. Thomas has worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Tucker, Tommy Tucker
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
51 years in the financial services industry
Current & Past Employments
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Current Firm
HENRY BRAGG & CO. | HENRY BRAGG & CO., LLC
Contact Information
Main Address
2900 Weslayan St. Ste 450, Houston, TX 77027-5132Phone Number
(713) 393-9444# of Employees
4SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
603AUM (Assets Under Management)
$468,655,772Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
HENRY BRAGG & CO. | HENRY BRAGG & CO., LLC
State Registrations and Notice Filings
(8/3/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1991About the Series 6 examSeries 1 — Registered Representative Examination
Passed Jan 1975Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Elliott Tucker's CRS (Customer Relationship Summary).
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