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Tucker Financial Services, Inc. is a Registered Investment Advisory Firm, SEC Registered www.sec.gov registered in the state of Pennsylvania and notice filed in the state of Maryland.
Our current disclosure statement as set forth on Part II of Form ADV is available for your review upon request.
Thomas C. Tucker is an Investment Advisory Representative with Tucker Financial Services, Inc. and a Registered Representative with Purshe Kaplan Sterling Investments. He is licensed to offer services in the states of Pennsylvania and Maryland through Purshe Kaplan Sterling Investments.
Michael W. Peterson is an Investment Advisory Representative with Tucker Financial Services, Inc.
Securities offered through Purshe Kaplan Sterling Investments, member SIPC/FINRA. www.finra.org
Headquartered at 18 Corporate Woods Boulevard, Albany, NY 12211. Not FDIC Insured. Not Bank Guaranteed. May Lose Value Including Loss of Principal. Not Insured By Any Sate or Federal Agency.
Please remember to contact our office if there are any changes in your financial situation or investment objectives, or if you wish to impose, add or modify any reasonable restrictions to the management of your account.
PRIVACY POLICY NOTICE
We, the Company, Tucker Financial Services, Inc. agree not to disclose to any affiliated or non-affiliated 3rd party companies any client nonpublic personal information except those allowed by law and agreed to by the client.
TUCKER FINANCIAL SERVICES BUSINESS CONTINUITY PLANNING STATEMENT
Tucker Financial Services, Inc. maintains business continuity plans designed to respond reasonably and effectively to events of varying scope. Plans define critical functions, staff assignments, alternate work locations, resource requirements, vital records, and assets related to restoring business operations with minimal impact. Plans are reviewed and maintained on an annual basis to ensure that documented information is current and recovery strategies support our operations.
Our Business Continuity Plan - We plan to quickly recover and resume business operations after a business interuption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.
Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
Varying Disruptions - Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business.
For more information - If you have questions about our business continuity planning, you can contact us at 717-267-1426 or at tuckerfs@tuckerfinancialservices.com.
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