Clifford B. Tracy

BROWN, LISLE/CUMMINGS

Providence, RI 02903

Some features on this profile are disabled

CRD#: 1213468

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clifford B Tracy Jr | Tip 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.

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

Blog Corner

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)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 28, 2012 - Present

BROWN, LISLE/CUMMINGS, INC.

Office #1: One Turks Head Place - Suite 800, Providence, RI 02903Office #2: One Turks Head Place Suite 800, Providence, RI 02903Office #3: One Turks Head Place Suite 800, Providence, RI 02903

RIA

CRD#: 1331

Providence, RI

Current

November 20, 2012 - Present

BROWN, LISLE/CUMMINGS, INC.

Office #1: One Turks Head Place - Suite 800, Providence, RI 02903Office #2: One Turks Head Place Suite 800, Providence, RI 02903Office #3: One Turks Head Place - Suite 800, Providence, RI 02903-2273

RIA

CRD#: 1331

Providence, RI

Past

May 15, 2009 - June 2, 2011

MML INVESTORS SERVICES, LLC

CRD#: 10409

SOUTH EASTON, MA

Past

March 17, 2005 - February 25, 2008

WATERWAY CAPITAL LLC

CRD#: 128212

BOSTON, MA

Past

December 1, 1999 - March 21, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

October 10, 1996 - November 22, 1999

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

August 2, 1990 - September 13, 1996

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

July 28, 1987 - August 8, 1990

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

November 22, 1983 - February 21, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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 & 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)

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.

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

California
(11/20/2012)

Colorado
(12/7/2021)

Connecticut
(11/20/2012)

Florida
(1/2/2019)

Georgia
(11/26/2018)

Maryland
(11/18/2021)

Massachusetts
(11/20/2012)

New York
(2/7/2014)

Rhode Island
(11/20/2012)

IAR

Rhode Island
(11/28/2012)

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

State Security Law Exam

IAR

Series 65

Date: 11/27/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/14/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Turks Head Place - Suite 800 Suite 800, Providence, RI 02903

Mailing Address

One Turks Head Place - Suite 800, Providence, RI 02903-2273

Phone number

(401) 421-8900

Established

Rhode Island since 12/13/1965

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (13 States and Territories)

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BLC WRAP APPENDIX I (3/3/2025)

DISCLOSURE BROCHURE_BROWN, LISLE/CUMMINGS, INC. (3/3/2025)

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	445
AUM (Assets Under Management)	$ 414,675,665

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

David Loughlin

CITIZENS SECURITIES, INC.

IAR

WARWICK, RI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Clifford B. Tracy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

BROWN, LISLE/CUMMINGS, INC.

MML INVESTORS SERVICES, LLC

WATERWAY CAPITAL LLC

LEGG MASON WOOD WALKER, INCORPORATED

HSBC SECURITIES (USA) INC.

LEGG MASON WOOD WALKER, INCORPORATED

PERSHING LLC

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

BROWN, LISLE/CUMMINGS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/2012

Series 63

Date: 1/11/1991

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 5/14/1985

Series 7

Date: 11/19/1983

Series 24

Date: 10/15/2021

FINRA

Current Firm

BROWN, LISLE/CUMMINGS, INC.

Contact information

SEC notice filing (13 States and Territories)

FINRA licenses (35 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

BROWN, LISLE/CUMMINGS, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors