Tracy J. Diestel
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 Jean Diestel, who also goes by Tracy Cox, Tracy Jean Riscen, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1985. Tracy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 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
July 20, 2018 - April 10, 2023
LEHMAN FINANCIAL RESOURCES
October 12, 2017 - June 27, 2019
LEHMAN FINANCIAL RESOURCES, INC.
July 7, 2016 - July 14, 2017
STEELPEAK WEALTH, LLC
November 16, 2009 - April 25, 2016
PURSHE KAPLAN STERLING INVESTMENTS
November 13, 2009 - August 9, 2016
THE PHILLIPS GROUP ADVISORS
December 3, 2003 - November 19, 2009
RBC CAPITAL MARKETS, LLC
December 3, 2003 - November 19, 2009
RBC CAPITAL MARKETS, LLC
July 31, 2002 - December 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 11, 1996 - December 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 4, 1992 - March 14, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 26, 1985 - August 4, 1992
MORGAN STANLEY DW INC.
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
LEHMAN FINANCIAL RESOURCES
CRD#: 292523 / SEC#: 801-113642
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,374 |
| AUM (Assets Under Management) | $ 1,131,786,496 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2023 | ||
| 08/23/2022 |
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.
