Lou Tucci: $2mm Complaint Against Arkadios Advisor

North Haledon, New Jersey financial advisor Lou Tucci (CRD# 4508379) allegedly violated industry rules, according to a recent, seven-figure investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors.

Mr. Tucci’s BrokerCheck report discloses two investor complaints. The most recent, filed in February 2026, alleges that as a representative of Realta Equities, he breached his duty to the customer and failed to perform adequate due diligence in connection with a Delaware Statutory Trust product. The pending complaint alleges damages of $2,000,000.

In comments included with the pending complaint’s disclosure, Mr. Tucci defended himself against the allegations. “Over several months, I participated in numerous discussions with [the customer], his son, attorney, and CPA, as well as conference calls with the DST sponsor’s representatives to address questions regarding the proposed investment,” he wrote. “We reviewed the nature and risks of the private placement/DST, including its illiquid, long-term nature, the absence of a secondary market, and that the sponsor-not the investor-controls the holding period and any sale of the underlying real estate. [The customer] acknowledged and understood these investment characteristics and risks.”

A second investor complaint, filed in 2008, alleged that as a representative of MML Investors Services, he incorrectly conducted a 1035 exchange, incurring a tax liability. The complaint reached a settlement of $28,197.

According to the Financial Industry Regulatory Authority, Lou Tucci holds 24 years of securities industry experience. Based in North Haledon, New Jersey, he has been registered as a broker with Arkadios Capital and an investment advisor with Arkadios Wealth Advisors since 2024. His past registrations include Realta Equities, Realta Investment Advisors, Securities America, MML Investors Services, Cadaret, Grant, and Investment Advisors & Consultants. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7TO; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 19 state licenses. (Information current as of October 27, 2026.)

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