Tracy H. Allen
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 Hazard Allen, who also goes by Tracy Lee Hazard, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1986. Tracy had worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2020 - April 22, 2021
PARSEC FINANCIAL
September 23, 2009 - January 2, 2020
PARSEC FINANCIAL
October 22, 1986 - July 8, 1999
CHARLES SCHWAB & CO., 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
Series 8
Date: 4/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PARSEC FINANCIAL
CRD#: 104919 / SEC#: 801-16359
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,580 |
| AUM (Assets Under Management) | $ 3,745,709,001 |
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.
