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JT

James J. Tracy

AC WEALTH PARTNERS
BERWYN, PA 19312
Some features on this profile are disabled
CRD#: 1005601
JT

Professional summary

James Joseph Tracy is a registered financial advisor currently at AC WEALTH PARTNERS located in Berwyn, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. James has worked at 8 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 15, Series 3, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Tracy's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 17, 2026 - Present

AC WEALTH PARTNERS

Office #1: 1000 Chesterbrook Boulevard Suite 102, Berwyn, PA 19312
RIA
CRD#: 326708
BERWYN, PA
Past

June 1, 2009 - June 13, 2025

MORGAN STANLEY

RIA
CRD#: 149777
Dublin, OH
Past

June 1, 2009 - June 13, 2025

MORGAN STANLEY

BD
CRD#: 149777
Dublin, OH
Past

July 14, 1994 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SAGINAW, MI
Past

July 31, 1993 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAGINAW, MI
Past

March 18, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 20, 1983 - March 29, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

August 28, 1981 - August 19, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

August 28, 1981 - August 19, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

August 28, 1981 - August 19, 1983

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AC WEALTH PARTNERS
AC WEALTH PARTNERS | ATEGENOS CAPITAL, LLC

CRD#: 326708 / SEC#: 801-128024

RIA
Registered Investment Advisory firm - (5/22/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Pennsylvania
(3/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/1996
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/5/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 15
Date: 6/17/1996
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 3
Date: 7/11/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/3/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 4/13/1988
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

AW
AC WEALTH PARTNERS
AC WEALTH PARTNERS | ATEGENOS CAPITAL, LLC

CRD#: 326708 / SEC#: 801-128024

RIA
Registered Investment Advisory firm - (5/22/2023 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1000 Chesterbrook Boulevard Suite 102, Berwyn, PA 19312
Mailing Address
Phone number
+1 (800) 461-3205
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ATEGENOS BROCHURE, JANUARY 2026 (1/2/2026)
ATEGENOS BROCHURE - WRAP PROGRAM, JANUARY 2026 (1/2/2026)

Regulatory assets under management

Total Number of Accounts1,758
AUM (Assets Under Management)$ 466,434,579

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AC WEALTH PARTNERS

CRD#: 326708Berwyn, PA 19312

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Contact information

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