Tracey B. Warson
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 Brophy Warson, who also goes by Tracey Maureen Brophy, Tracy B Warson, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 2004. Tracey had worked at 6 firms and has passed the Series 66, SIE, Series 7 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
July 17, 2017 - May 18, 2020
CITI PRIVATE ALTERNATIVES, LLC
April 25, 2011 - May 18, 2020
CITIGROUP GLOBAL MARKETS INC.
March 23, 2010 - May 18, 2020
CITIGROUP GLOBAL MARKETS INC.
October 23, 2009 - January 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 31, 2006 - March 7, 2008
UST SECURITIES CORP.
March 8, 2004 - October 3, 2006
WELLS FARGO INVESTMENTS, 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
CITI PRIVATE ALTERNATIVES, LLC
CRD#: 153777 / SEC#: 801-71561, 8-69789
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP INVESTMENT PARTNERS | MEMBER | |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (FINOP) | 1584619 |
| DE ANDRADE, ROBERTO CARLOS | MANAGER | 5841299 |
| JEAN-BAPTISTE, ALEX | CHIEF COMPLIANCE OFFICER | 6828963 |
| ODONNELL, DANIEL GLENN | MANAGER | 3160132 |
| ODONNELL, NIALL | PRINCIPAL OPERATIONS OFFICER | 6830897 |
| REMAK, MICHAEL DAVID | CEO/MANAGER | 2914374 |
Regulatory assets under management
| Total Number of Accounts | 183 |
| AUM (Assets Under Management) | $ 18,347,749,864 |
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.
