Tracy L. Adamczyk
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 Lynn Adamczyk, who also goes by Tracy Lynn Vraney, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1983. Tracy had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2009 - September 8, 2011
SECURITIES AMERICA, INC.
March 13, 2009 - November 6, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 2009 - November 6, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 2005 - March 16, 2009
CHASE INVESTMENT SERVICES CORP.
August 15, 2005 - March 16, 2009
CHASE INVESTMENT SERVICES CORP.
February 18, 1994 - April 25, 1997
UBS FINANCIAL SERVICES INC.
September 7, 1983 - March 3, 1994
CITIGROUP GLOBAL MARKETS INC.
June 2, 1983 - June 23, 1983
L. F. ROTHSCHILD & CO. INCORPORATED
March 23, 1983 - April 18, 1983
NORWOOD SECURITIES
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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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