Tracy L. Giffen
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 Lynn Giffen, who also goes by Tracy Lynn Dieter, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1986. Tracy had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2012 - July 30, 2025
FIRST TRUST PORTFOLIOS L.P.
March 15, 2010 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 7, 2007 - January 30, 2009
DIRECTED SERVICES LLC
January 18, 2005 - May 11, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 20, 1999 - January 3, 2005
MFS FUND DISTRIBUTORS, INC.
October 2, 1996 - December 13, 1999
DWS DISTRIBUTORS, INC.
October 29, 1993 - September 4, 1996
ALLSTATE FINANCIAL SERVICES, LLC
January 27, 1993 - November 9, 1993
LASALLE FINANCIAL SERVICES, INC.
August 7, 1992 - January 26, 1993
CAPITAL BROKERAGE CORPORATION
August 19, 1986 - June 18, 1992
PRUCO SECURITIES, 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
FIRST TRUST PORTFOLIOS L.P.
CRD#: 28519 / SEC#: , 8-43843
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | |
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 |
| THE CHARGER CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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