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Clifford Burrell Tracy Jr

BROWN, LISLE/CUMMINGS

PROVIDENCE, RI

·CRD# 1213468·43 years experience

Professional Summary

Clifford Burrell Tracy JR, who also goes by Clifford B Tracy Jr, Tip Tracy, is a registered financial advisor currently at BROWN, LISLE/CUMMINGS, INC. located in Providence, Rhode Island. Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Clifford has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Clifford B Tracy Jr, Tip Tracy

Blog Corner

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What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

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Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

BROWN, LISLE/CUMMINGS, INC.·CRD# 1331

RIA

BD

1. 56 Exchange Terrace Suite 300, Providence, RI 02903-17722. 56 Exchange Terrace Suite 300, Providence, RI 02903-17723. 56 Exchange Terrace Suite 300, Providence, RI 02903-1772

November 28, 2012 - Present

BROWN, LISLE/CUMMINGS, INC.·CRD# 1331

RIA

BD

1. 56 Exchange Terrace Suite 300, Providence, RI 02903-17722. 56 Exchange Terrace Suite 300, Providence, RI 02903-17723. 56 Exchange Terrace Suite 300, Providence, RI 02903-1772

November 20, 2012 - Present

MML INVESTORS SERVICES, LLC·CRD# 10409

BD

South Easton, MA

May 15, 2009 - June 2, 2011

WATERWAY CAPITAL LLC·CRD# 128212

BD

Boston, MA

March 17, 2005 - February 25, 2008

LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555

BD

Baltimore, MD

December 1, 1999 - March 21, 2005

HSBC SECURITIES (USA) INC.·CRD# 19585

BD

New York City, NY

October 10, 1996 - November 22, 1999

LEGG MASON WOOD WALKER, INCORPORATED·CRD# 6555

BD

Baltimore, MD

August 2, 1990 - September 13, 1996

PERSHING LLC·CRD# 7560

BD

Jersey City, NJ

July 28, 1987 - August 8, 1990

UBS FINANCIAL SERVICES INC.·CRD# 8174

BD

November 22, 1983 - February 21, 1985

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David Lawrence Loughlin

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Current Firm

BROWN, LISLE/CUMMINGS, INC.

BROWN, LISLE/CUMMINGS, INC.

BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC

CRD#: 1331 / SEC#: 801-121156, 8-12716

RIA

Registered Investment Advisory firm - SEC (5/6/2021 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/11/2010 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

56 Exchange Terrace Suite 300 Suite 300, Providence, RI 02903-1772

Mailing Address

56 Exchange Ter Ste 300, Providence, RI 02903-1772

Phone Number

(401) 421-8900

Established

Rhode Island since 12/13/1965

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

# of Employees

13

SEC notice filing (13 States and Territories)

Registered to provide investment advisory services in 13 US states and territories.

FINRA licenses (35 States and Territories)

Registered to provide investment advisory services in 13 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BLC WRAP APPENDIX I (6/26/2026)

DISCLOSURE BROCHURE_BROWN, LISLE/CUMMINGS, INC. (6/26/2026)

Direct owners and executive officers

Name	Position	CRD#
IZZI, DAVID ANTHONY	PRESIDENT; SECRETARY; TREASURER; CHIEF COMPLIANCE OFFICER	2027961
LISLE, SCOTT SAWYER	VICE PRESIDENT	2220388
MARGINSON, JOHN ARTHUR	VICE PRESIDENT	860727
MCGINN, JOSEPH HUGH JR	VICE PRESIDENT	2354164
MURPHY, LOUIS GEORGE JR	VICE PRESIDENT	1162141
TRACY, CLIFFORD BURRELL JR	VICE PRESIDENT	1213468

Regulatory Assets Under Management

Total Number of Accounts

490

AUM (Assets Under Management)

$487,318,974

Disclosures

Regulatory Event

7

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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.

AS A FORMER INSURANCE AGENT OF MASS MUTUAL, I RECEIVE PASSIVE INCOME ON POLICY RENEWALS.

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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".

BROWN, LISLE/CUMMINGS, INC.

BROWN, LISLE/CUMMINGS, INC.

BROWN, LISLE & MARSHALL, INCORPORATED | BROWN, LISLE/CUMMINGS, INC. | BROWN, LISLE/CUMMINGS, INC

CRD#: 1331 / SEC#: 801-121156, 8-12716

RIA

Registered Investment Advisory firm - SEC (5/6/2021 Approved)

Connecticut

Registered Investment Advisory firm - SEC (5/11/2021 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (2/11/2010 Terminated)

Washington

Registered Investment Advisory firm - SEC (6/10/2021 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(11/20/2012)

RR

Colorado
(12/7/2021)

RR

Connecticut
(11/20/2012)

RR

Florida
(1/2/2019)

RR

Georgia
(11/26/2018)

RR

Maryland
(11/18/2021)

RR

Massachusetts
(11/20/2012)

RR

New York
(2/7/2014)

RR

Rhode Island
(11/20/2012)

IAR

Rhode Island
(11/28/2012)

RR

Tennessee
(5/8/2026)

RR

Virginia
(11/28/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Nov 2012About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1991About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed May 1985About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Nov 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2021About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Clifford Burrell Tracy JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Clifford Burrell Tracy JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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