Tracy L. Haines
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tracy Lee Haines, who also goes by Tracy Lee Roper, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1983. Tracy had worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1999 - May 24, 2021
HARTFIELD, TITUS & DONNELLY, LLC
May 3, 1993 - May 17, 2000
TITUS & DONNELLY LLC
September 9, 1992 - May 20, 1993
UBS FINANCIAL SERVICES INC.
February 13, 1986 - September 12, 1992
CIBC WORLD MARKETS CORP.
September 10, 1984 - January 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1983 - September 12, 1992
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
HARTFIELD, TITUS & DONNELLY, LLC
CRD#: 7117 / SEC#: , 8-18974
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PURPORA CONSULTING,INC. | DIRECT OWNER | |
| CALDAS, JOSEPH JAMES | DIRECT OWNER | 501739 |
| CARRINGTON, MICHAEL SUGHRUE | DIRECT OWNER | 2716358 |
| EMANUEL, PAUL JOSEPH | DIRECT OWNER | 2330590 |
| INFUSINO, RICHARD ANGELO JR | DIRECT OWNER | 5668679 |
| MUSTACCHIO, LOUIS JOSEPH JR | DIRECT OWNER | 1656435 |
| O'MALLEY, DEREK JOHN | DIRECT OWNER | 4369620 |
| PAULEY, MATTHEW CHRISTOPHER | DIRECT OWNER | 2280671 |
| FERRERI, CHRISTOPHER CHARLES | DIRECT OWNER | 1677406 |
| GEORGE, MICHAEL THEODORE | FINOP & TREASURER | |
| HOFFMAN, EDWARD KELLY | DIRECT OWNER | 2295024 |
| JOHNSON, MARYBETH | DIRECT OWNER | 2123615 |
| MCCUE, JAMES GERARD | DIRECT OWNER | 2037468 |
| MULVIHILL, CAROLYN CROWE | DIRECT OWNER | 1968504 |
| NOTINE, TODD ROBERT | DIRECT OWNER | 1595766 |
| PALLARINO, JOHN GUY | DIRECT OWNER | 2282884 |
| SMITH, EDWARD JOHN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER, SECRETARY AND DIRECT OWNER | 4161601 |
| VANDERBEEK, TAYLOR JAMES | DIRECT OWNER | 6339397 |
| VINJE, NATALIE GRIFFIN | DIRECT OWNER | 3135251 |
Disclosures
| Regulatory Event | 1 |
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.
