TI
Tracey H. Ivey
THOMPSON SIEGEL & WALMSLEY LLC
BRYN MAWR, PA
Some features on this profile are disabled
CRD#: 1339521
TI
Professional summary
Tracey Holgren Ivey, who also goes by Tracey Anne Holgren, is a registered financial advisor currently at THOMPSON SIEGEL & WALMSLEY LLC located in Bryn Mawr, Pennsylvania and FUNDS DISTRIBUTOR, LLC located in Richmond, Virginia.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Tracey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracey Anne Holgren
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.
1. DIRECTOR OF CONSULTANT RELATIONS (STARTED 9/2008), THOMPSON, SIEGEL & WALMSLEY LLC (INVESTMENT-RELATED), Bryn Mawr, PA, INVESTMENT ADVISER, 160+ HRS/MONTH, ALL DURING TRADING HOURS, CONSULTANT RELATIONSHIP MANAGEMENT. 2. University of Richmond, 28 Westhampton Way, Richmond, VA; Board of Trustees; Non-investment related; Start date 7/1/2018; Board of Trustees - on Advancement/Communications and Student Development Committees; 4 hours per month with 0 during trading hours. 3. Beach Road Condo; Vero Beach, FL; Non investment related; Start date 01/25/2022; Condominium Board; Board Member; Governing board for a 20 unit condo building that is part of the John's Island Club in Vero Beach FL; 6 hours per month with 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Holgren Ivey's 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®
NoneExperience
Current
January 9, 2009 - Present
THOMPSON SIEGEL & WALMSLEY LLC
RIA
CRD#: 105726
BRYN MAWR, PA
Current
January 2, 2014 - Present
FUNDS DISTRIBUTOR, LLC
Office #1: 6641 West Broad Street Suite 600, Richmond, VA 23230BD
CRD#: 7174
Richmond, VA
Past
January 9, 2009 - December 31, 2013
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
BOSTON, MA
Past
September 10, 2007 - August 13, 2008
MORGAN STANLEY INVESTMENT ADVISORS INC.
RIA
CRD#: 104525
NEW YORK, NY
Past
July 22, 1993 - August 13, 2008
MORGAN STANLEY DISTRIBUTION, INC.
BD
CRD#: 30344
NEW YORK, NY
Past
February 25, 1985 - September 7, 1993
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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".
TS
THOMPSON SIEGEL & WALMSLEY LLC
THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
RIA
Registered Investment Advisory firm - (1/17/1970 Approved)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/2/2015)
RR
Alaska(1/2/2015)
RR
Arizona(1/2/2015)
RR
Arkansas(1/2/2015)
RR
California(1/2/2015)
RR
Colorado(1/2/2014)
RR
Connecticut(1/2/2014)
RR
Delaware(1/2/2014)
RR
District of Columbia(1/2/2015)
RR
Florida(1/2/2015)
IAR
Florida(3/22/2022)
RR
Georgia(1/2/2015)
RR
Hawaii(1/2/2015)
RR
Idaho(1/2/2015)
RR
Illinois(1/2/2014)
RR
Indiana(1/2/2015)
RR
Iowa(1/2/2015)
RR
Kansas(1/2/2014)
RR
Kentucky(1/2/2015)
RR
Louisiana(1/2/2015)
RR
Maine(1/2/2015)
RR
Maryland(1/2/2015)
RR
Massachusetts(1/2/2014)
RR
Michigan(1/2/2015)
RR
Minnesota(1/2/2014)
RR
Mississippi(1/2/2015)
RR
Missouri(1/2/2014)
RR
Montana(1/2/2015)
RR
Nebraska(1/2/2015)
RR
Nevada(1/2/2015)
RR
New Hampshire(1/2/2014)
RR
New Jersey(1/2/2014)
RR
New Mexico(1/2/2015)
RR
New York(1/2/2014)
RR
North Carolina(1/9/2015)
RR
North Dakota(1/2/2015)
RR
Ohio(1/2/2015)
RR
Oklahoma(1/2/2015)
RR
Oregon(1/2/2014)
IAR
Pennsylvania(1/9/2009)
RR
Pennsylvania(1/2/2014)
RR
Puerto Rico(1/7/2015)
RR
Rhode Island(1/2/2015)
RR
South Carolina(1/2/2015)
RR
South Dakota(1/2/2015)
RR
Tennessee(1/2/2015)
RR
Texas(1/2/2015)
RR
Utah(1/2/2015)
RR
Vermont(1/2/2015)
RR
Virgin Islands(1/2/2015)
IAR
Virginia(1/9/2009)
RR
Virginia(1/2/2014)
RR
Washington(1/2/2014)
RR
West Virginia(1/2/2015)
RR
Wisconsin(1/2/2015)
RR
Wyoming(1/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THOMPSON SIEGEL & WALMSLEY LLC
THOMPSON SIEGEL & WALMSLEY INC | WPS CAPITAL MANAGEMENT, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | WPS CAPITAL FUND, LLC (RELYING ADVISER) SEE SCHEDULE D - MISC. FOR FURTHER INFORMATION | THOMPSON, SIEGEL & WALMSLEY | THOMPSON SIEGEL & WALMSLEY LLC
CRD#: 105726 / SEC#: 801-6273
RIA
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Contact information
Main Address
6641 West Broad Street Suite 600, Richmond, VA 23230
Mailing Address
Phone number
(804) 353-4500
Established
Firm type
Fiscal year end
# of Employees
68
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,775 |
| AUM (Assets Under Management) | $ 20,812,400,000 |
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.
