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Thomas Tucker

Stifel, Nicolaus & Company, Incorporated
24 Years of Experience
Warrenton, VA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Thomas Tucker is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Warrenton, VA, with 24 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

550 Broadview Avenue, Suite 201, Warrenton, VA, 20186

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is involved in several business activities, including owning and managing a rental property (Play the Rest, LLC), holding a share in land holdings (Amherst Ventures, LLC), and being a shareholder in an inherited family farm (Tucker Family Properties, LLC). Additionally, Thomas works as a professional musician on occasion.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
April 2025 - Present · 1 yr 6 mos
Stifel, Nicolaus & Company, IncorporatedBroker
April 2025 - Present · 1 yr 6 mos
Previous Registrations
B. Riley Wealth Advisors, INC.
May 2023 - April 2025 · 1 yr 11 mos
B. Riley Wealth ManagementBroker
May 2023 - April 2025 · 1 yr 11 mos
Edward Jones
January 2008 - March 2023 · 15 yrs 2 mos
Edward JonesBroker
June 2002 - March 2023 · 20 yrs 9 mos
State Registrations8 states
FLGAINMDMEMNNCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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