Tracey E. Ortenzio
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.
Tracey E Ortenzio, who also goes by Tracey E. Wood, Tracey Elizabeth Wood, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1984. Tracey had worked at 19 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2012 - December 31, 2018
EQUITY SERVICES, INC.
July 3, 2012 - December 31, 2018
EQUITY SERVICES, INC.
February 28, 2012 - July 13, 2012
ONEAMERICA SECURITIES, INC.
February 15, 2012 - July 13, 2012
ONEAMERICA SECURITIES, INC.
July 27, 2011 - January 12, 2012
VALIC FINANCIAL ADVISORS, INC.
July 6, 2011 - January 12, 2012
VALIC FINANCIAL ADVISORS, INC.
July 8, 2010 - October 11, 2010
MSI FINANCIAL SERVICES, INC.
June 16, 2010 - October 11, 2010
MSI FINANCIAL SERVICES, INC.
June 1, 2009 - March 16, 2010
MORGAN STANLEY
June 1, 2009 - March 16, 2010
MORGAN STANLEY
November 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
November 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 18, 2008 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2008 - November 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 2003 - September 30, 2003
QUICK & REILLY, INC.
May 12, 2003 - September 30, 2003
QUICK & REILLY, INC.
November 8, 2002 - April 25, 2003
METROPOLITAN LIFE INSURANCE COMPANY
November 8, 2002 - April 25, 2003
MSI FINANCIAL SERVICES, INC.
March 7, 2001 - November 5, 2001
CHASE INVESTMENT SERVICES CORP.
April 20, 2000 - March 2, 2001
OMNIVEST, INC.
February 11, 2000 - March 1, 2000
J. SCOTT SECURITIES CORP.
October 27, 1998 - February 16, 1999
FIDELITY BROKERAGE SERVICES LLC
April 8, 1998 - October 13, 1998
FIRST UNION BROKERAGE SERVICES, INC.
February 27, 1997 - March 11, 1997
INVEST FINANCIAL CORPORATION
October 3, 1996 - February 4, 1997
CHASE INVESTMENT SERVICES CORP.
February 2, 1996 - May 13, 1996
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 25, 1995 - October 26, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 11, 1991 - August 25, 1995
CITICORP INVESTMENT SERVICES
April 21, 1987 - March 5, 1991
INVEST FINANCIAL CORPORATION
February 16, 1984 - May 12, 1987
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 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.
