Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
JAMES D TUCKER
James Douglas Tucker
CRD#: 6080787
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 141 W Front St Ste 140
Red Bank, NJ 07701
Red Bank, NJ 07701
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
Arizona 6/14/2021
IA
New Jersey 11/8/2019
B
California 11/8/2019
B
New York 11/8/2019
B
Connecticut 11/8/2019
B
North Carolina 11/8/2019
B
Delaware 11/8/2019
B
Ohio 9/18/2024
B
Florida 11/8/2019
B
Pennsylvania 11/8/2019
B
Illinois 11/8/2019
B
Rhode Island 11/8/2019
B
Indiana 11/8/2019
B
South Carolina 11/8/2019
B
Maryland 11/8/2019
B
Tennessee 11/8/2019
B
Massachusetts 11/8/2019
B
Texas 11/8/2019
B
Minnesota 12/19/2024
IA
Texas 11/8/2019
B
Missouri 1/26/2022
B
Vermont 11/8/2019
B
Montana 6/2/2023
B
Virginia 11/8/2019
B
New Jersey 11/8/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 11/8/2019
B
Registered with this firm since 11/8/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/22/2014 - 11/11/2019 | RED BANK, NJ | |
B | 08/19/2014 - 11/11/2019 | RED BANK, NJ |
For additional information about investment advisers or broker-dealers, please visit
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.
IA
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.