Tracey Jean Maberry Larsen
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 Jean Maberry Larsen, who also goes by Tracey J Larsen, Tracey Jean Maberry Larsen, Tracey Jean Maberry, Tracey Jean Maberry Larsen, was a registered financial professional .
Tracey Jean Maberry is a previously registered financial professional and started their career in finance in 2012. Tracey Jean Maberry had worked at 6 firms and has passed the Series 66, Series 63, SIE 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
April 4, 2019 - February 17, 2020
CUNA BROKERAGE SERVICES, INC.
April 4, 2019 - February 17, 2020
CUNA BROKERAGE SERVICES, INC.
February 16, 2018 - January 17, 2019
TD AMERITRADE, INC.
February 16, 2018 - January 17, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 16, 2018 - January 17, 2019
TD AMERITRADE, INC.
December 6, 2016 - January 22, 2018
TRANSAMERICA RETIREMENT ADVISORS, LLC
April 13, 2015 - January 22, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
January 14, 2013 - March 4, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
November 16, 2012 - March 4, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
