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Current Employers
Tucker Asset Management Llc

1520 West Canal Court Suite 100, Littleton, CO 80120 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-11-19
  • WI RA
    APPROVED
    Since 2021-11-19

Branch Locations

5205 N Ironwood Rd Suite 102, Glendale, WI 53217 • United States

1520 West Canal Court Suite 100, Littleton, CO 80120 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Independent Solutions Llc Milwaukee WI 09/2006 Present
New England Financial Waukesha WI 04/2002 Present
1St Tech Staffing Minneapolis MN 03/2002 Present
Tucker Asset Management Llc Littleton CO 08/2021 Present
  • 09/2006 → Present
    Independent Solutions Llc
    Milwaukee, WI
  • 04/2002 → Present
    New England Financial
    Waukesha, WI
  • 03/2002 → Present
    1St Tech Staffing
    Minneapolis, MN
  • 08/2021 → Present
    Littleton, CO
Other Businesses

1.) D.B.A INDEPENDENT SOLUTIONS MILWAUKEE, WI(NOT A REGISTERED CORPORATION) OWNER -OPERATOR SALES OF INSURANCE AND OTHER NON-SECURITIES RELATED PRODUCTS 4/2001-PRESENT 2.) 1ST TECH STAFFING (NON-SECURITIES RELATED) ENGINEERING CONTRACTOR ON AN AS NEEDED BASIS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-17
S63 Uniform Securities Agent State Law Examination 1996-04-18
  • S65 Uniform Investment Adviser Law Examination
    2004-08-17
  • S63 Uniform Securities Agent State Law Examination
    1996-04-18

View on SEC IAPD

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