John R. Tracy
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.
John Randall Tracy, who also goes by Randy Tracy, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2011 - November 4, 2019
GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.
June 1, 2011 - December 14, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 11, 2009 - May 23, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
December 11, 2009 - May 23, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
August 1, 2008 - December 9, 2009
NATIONWIDE SECURITIES, LLC
August 1, 2008 - December 9, 2009
NATIONWIDE SECURITIES, LLC
May 22, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
May 1, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
August 9, 2000 - May 1, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 4, 1989 - May 1, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 25, 1989 - August 12, 1989
AMOS-LEE SECURITIES, INC.
February 2, 1988 - January 26, 1989
TOWER SQUARE SECURITIES, INC.
July 16, 1987 - February 2, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
December 15, 1986 - August 10, 1987
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
GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.
CRD#: 143008 / SEC#: 801-67529
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
