Tracy R. Burkard
Professional summary
Tracy Rene Burkard, who also goes by Tracy Farley, Tracy Walker, T R Weston, Tracy Rene Weston, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Vancouver, Washington and CETERA INVESTMENT SERVICES LLC located in Vancouver, Washington.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1982. Tracy has worked at 14 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy Rene Burkard's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 10, 1989 - Present
CETERA WEALTH SERVICES, LLC
February 1, 2013 - Present
CETERA INVESTMENT SERVICES LLC
February 1, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
February 1, 2013 - Present
CETERA ADVISORS LLC
April 7, 2015 - December 23, 2015
J.P. TURNER & COMPANY, L.L.C.
April 7, 2015 - November 29, 2016
VSR FINANCIAL SERVICES, INC.
April 7, 2015 - November 29, 2016
INVESTORS CAPITAL CORP.
April 7, 2015 - December 31, 2016
LEGEND EQUITIES CORPORATION
April 7, 2015 - November 1, 2017
GIRARD SECURITIES, INC.
April 7, 2015 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
April 7, 2015 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
February 28, 1986 - April 10, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
May 20, 1983 - March 11, 1986
THOMSON MCKINNON SECURITIES INC.
March 2, 1982 - July 13, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/27/2023)
(10/27/2023)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
