MT
Marie H. Tracy
HORNOR, TOWNSEND & KENT
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 1081362
MT
Professional summary
Marie Hewes Tracy, who also goes by Teri Tracy, Terri Tracy, is a registered financial advisor currently at HORNOR, TOWNSEND & KENT, LLC located in New York, New York.
Marie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Marie has worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Teri Tracy | Terri Tracy
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.
1) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | DBA NAME: N/A | POSITION HELD: AGENT | ADDRESS: 30 VESEY ST, 9TH FL, NEW YORK, NY 10007 | START DATE: 08/01/2011 | NATURE OF ACTIVITY: LIFE INSURANCE BROKERAGE | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: PROVIDING INSURANCE SALES AND SERVICES FOR MULTIPLE CARRIERS. 2) REGISTERED SALES ASSISTANT | INVESTMENT RELATED: YES | DBA NAME: CICITTA WEALTH MANAGEMENT LLC | POSITION HELD: EMPLOYEE | ADDRESS: 30 Vesey Street, 9th Floor, NY 10007, United States | START DATE: 3/28/2019 | NATURE OF ACTIVITY: FINANCIAL SERVICES | APPROX HRS PER MTH: 41-100 HRS | APPROX TRADING HRS PER MTH: 41-100 HRS | DESCRIPTION OF DUTIES: SALES ASSISTANT WORKING WITH MR. CICITTA WITH INVESTMENT AND INSURANCE CLIENT SERVICES.
CRS (Client Relationship Summary) - RIA
Click below to view Marie Hewes Tracy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marie Hewes Tracy's 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®
NoneExperience
Current
March 3, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Current
March 3, 2017 - Present
HORNOR, TOWNSEND & KENT, LLC
Office #1: 30 Vesey St 9th Floor, New York, NY 10007RIA
BD
CRD#: 4031
NEW YORK, NY
Past
August 3, 2011 - February 24, 2017
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
NEW YORK, NY
Past
August 1, 2011 - February 24, 2017
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
NEW YORK, NY
Past
February 10, 2006 - August 3, 2011
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MONTVILLE, NJ
Past
November 15, 2005 - August 3, 2011
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MONTVILLE, NJ
Past
March 24, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
March 24, 1998 - July 9, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
November 17, 1989 - March 23, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Past
February 16, 1989 - March 23, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 5, 1983 - January 11, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
December 17, 1982 - September 9, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/6/2022)
RR
Arizona(3/3/2017)
RR
California(3/3/2017)
RR
Connecticut(3/6/2017)
RR
Delaware(3/20/2017)
RR
Florida(3/6/2017)
RR
Massachusetts(3/8/2017)
RR
New Jersey(1/3/2022)
RR
New York(3/7/2017)
IAR
New York(7/11/2021)
RR
North Carolina(3/6/2017)
RR
Pennsylvania(3/6/2017)
RR
South Carolina(3/6/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HORNOR, TOWNSEND & KENT, LLC
HORNOR, TOWNSEND & KENT, INC. | PENN MUTUAL EQUITY SERVICES, INC. | HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
RIA
Registered Investment Advisory firm - SEC (2/25/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Mailing Address
161 Washington Street Suite 1111, Conshohocken, PA 19428
Phone number
(215) 957-7300
Established
Delaware since 09/09/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
442
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
