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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

JAMES HOWARD TUCKER

Advisor at CETERA INVESTMENT ADVISERS LLC

Southern Pines, NC | Durham, NC

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Search this name across graphsid dfx:ria:34ab051e-7ffd-9301-6de2-1ec985ac017a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 14, 2003 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: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 9, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Feb 9, 1988
First registration: May 14, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 1739329

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 3, 2026	n/a	yes	Durham, NC\|Southern Pines, NC	Current employment
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Feb 15, 2013	Jun 3, 2026	no	Southern Pines, NC\|DURHAM, NC\|WALTHAM, MA\|SOUTHERN PINES, NC	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Mar 5, 2013	no	DURHAM, NC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Oct 9, 2006	Jun 1, 2009	no	DURHAM, NC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 14, 2003	Oct 16, 2006	no	CHAPEL HILL, NC\|DURHAM, NC	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
COMMONWEALTH FINANCIAL NETWORK	CETERA INVESTMENT ADVISERS LLC	Jun 3, 2026	Jun 3, 2026	0	Firm change	Ibd to ibd
MORGAN STANLEY	COMMONWEALTH FINANCIAL NETWORK	Mar 5, 2013	Feb 15, 2013	-18	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	CITIGROUP GLOBAL MARKETS INC.	Oct 16, 2006	Oct 9, 2006	-7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
8032:105644:NC:2026-06-02	Jun 3, 2026	Jun 3, 2026	SOUTHERN PINES, NC	Firm change

Relationships

Registered with (5)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 3, 2026 to presentfactForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Feb 15, 2013 to Jun 3, 2026factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Mar 5, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Oct 9, 2006 to Jun 1, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 14, 2003 to Oct 16, 2006factForm ADV

Dated events

Occurred
Jun 3, 2026
Advisor changed firm
James Howard Tucker left Commonwealth Financial Network for Cetera Investment Advisers Llc (registered 2026-06-03)
Form ADVobserved 5 days ago