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RIA / WealthAdvisor30 years in industry

GULAM AMIR FAZEL

Advisor at TUCKER ASSET MANAGEMENT LLC

Allentown, PA | LITTLETON, CO | Lake Mary, FL

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Search this name across graphsid dfx:ria:1e7e2218-4f64-5bb1-c94d-de2b3ba57393

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TUCKER ASSET MANAGEMENT LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 29, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 29, 1996
First registration: Jan 7, 2009
Dual registered: no
IAPD individual key: 2744200

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TUCKER ASSET MANAGEMENT LLC	Independent wealth	Sep 9, 2019	n/a	yes	LITTLETON, CO\|Allentown, PA\|Lake Mary, FL	Current employment
BROOKSTONE WEALTH ADVISORS, LLC	No RAUM reported	Jan 28, 2016	Sep 11, 2019	no	Allentown, PA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 19, 2012	Dec 23, 2015	no	ALLENTOWN, PA\|ALLENTOWN, PA\|SAN DIEGO, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 14, 2011	Dec 19, 2012	no	ALLENTOWN, PA	Previous registration
WOODSTOCK FINANCIAL GROUP, INC.	Former SEC adviser	Jan 7, 2009	Feb 16, 2011	no	WOODSTOCK, GA\|ALLENTOWN, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BROOKSTONE WEALTH ADVISORS, LLC	TUCKER ASSET MANAGEMENT LLC	Sep 11, 2019	Sep 9, 2019	-2	Firm change	RIA to RIA
LPL FINANCIAL LLC	BROOKSTONE WEALTH ADVISORS, LLC	Dec 23, 2015	Jan 28, 2016	36	Firm change	Other
CETERA INVESTMENT ADVISERS LLC	LPL FINANCIAL LLC	Dec 19, 2012	Dec 19, 2012	0	Firm change	Other
WOODSTOCK FINANCIAL GROUP, INC.	CETERA INVESTMENT ADVISERS LLC	Feb 16, 2011	Mar 14, 2011	26	Firm change	Other

Relationships

Registered with (5)

→ TUCKER ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
Sep 9, 2019 to presentfactForm ADV
→ BROOKSTONE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 28, 2016 to Sep 11, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 19, 2012 to Dec 23, 2015factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 14, 2011 to Dec 19, 2012factForm ADV
→ WOODSTOCK FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jan 7, 2009 to Feb 16, 2011factForm ADV

Dated events

No dated event names this entity yet.