Individual Firm
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Alma Christine Tucker
ALMA C TUCKER, CHRIS TUCKER, CHRISTINE ALMA TUCKER, CHRISTINE TUCKER
CRD#: 1500425
IA
B
EDWARD JONESCRD#: 250 4910 BROWNSBORO RD STE 175
LOUISVILLE, KY 40222
LOUISVILLE, KY 40222
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9/16/2003
Customer Dispute
Denied
State Registrations
B
Alabama 3/2/2023
B
New Jersey 8/31/2009
B
Arkansas 1/13/2025
B
New Mexico 10/30/2006
B
California 10/30/2006
B
New York 4/19/2023
B
Colorado 10/28/2015
B
North Carolina 2/12/2007
B
Florida 5/23/2005
B
Oklahoma 10/27/2020
B
Georgia 7/18/2008
B
Oregon 8/30/2022
B
Illinois 4/3/2012
B
Pennsylvania 11/18/2024
B
Indiana 5/18/2005
B
South Carolina 3/24/2020
B
Kentucky 5/18/2005
B
Tennessee 2/5/2018
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Kentucky 11/9/2006
B
Texas 1/2/2013
B
Michigan 2/10/2015
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Texas 12/18/2018
B
Mississippi 9/3/2019
B
Virginia 1/5/2011
B
Missouri 9/23/2016
B
Wisconsin 8/6/2020
B
New Hampshire 1/23/2023
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 11/9/2006
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Registered with this firm since 5/18/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/02/1998 - 05/19/2003 | NEW YORK, NY | |
B | 07/11/1994 - 06/16/1998 | CHARLOTTE, NC | |
B | 05/05/1994 - 07/15/1994 | NEW YORK, NY | |
B | 09/01/1993 - 02/10/1994 | NEW YORK, NY | |
B | 07/31/1990 - 03/24/1993 | NORWALK, CT | |
B | 06/13/1986 - 10/06/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.