Tracy R. Turner
Professional summary
Tracy Rae Turner was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tracy is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Tracy had worked at 8 firms, which includes COLORADO FINANCIAL SERVICE CORPORATION, LIGHTHOUSE CAPITAL CORPORATION, PRIVATE ASSET GROUP INC., CAPWEST SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - December 1, 2014
COLORADO FINANCIAL SERVICE CORPORATION
February 22, 2010 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
June 17, 2009 - February 18, 2010
PRIVATE ASSET GROUP, INC.
March 20, 2009 - June 5, 2009
CAPWEST SECURITIES, INC.
August 6, 2004 - March 24, 2009
LIGHTHOUSE CAPITAL CORPORATION
August 10, 2001 - December 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 3, 2001 - December 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - August 20, 2001
CITIGROUP GLOBAL MARKETS INC.
January 5, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
July 24, 1985 - April 26, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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