Thomas C. 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.
Thomas Cleveland Tucker was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 9 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2004 - October 17, 2012
PURSHE KAPLAN STERLING INVESTMENTS
November 20, 2002 - March 11, 2019
TRUNORTH FINANCIAL SERVICES, INC.
February 7, 1991 - April 30, 1991
PEB FINANCIAL GROUP, INC.
November 30, 1989 - December 18, 1989
PEB FINANCIAL GROUP, INC.
September 27, 1989 - May 14, 2004
MAIN STREET MANAGEMENT COMPANY
May 31, 1989 - July 29, 1989
PEB FINANCIAL GROUP, INC.
May 18, 1987 - October 7, 1989
KEOGLER, MORGAN & COMPANY, INC.
August 6, 1984 - June 9, 1987
FSC SECURITIES CORPORATION
March 27, 1984 - August 6, 1984
NEW ENGLAND SECURITIES
May 16, 1983 - August 2, 1984
ADVANTAGE CAPITAL CORPORATION
January 19, 1982 - May 31, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 1977 - October 1, 1981
NEW ENGLAND SECURITIES
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 1
Date: 10/10/1977
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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