Timothy T. Tracy
Professional summary
Timothy Thomas Tracy, CFP®, who also goes by Tim Tracy, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Prescott Valley, Arizona.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Timothy has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Thomas Tracy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Thomas Tracy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
July 15, 2022 - Present
INDEPENDENT FINANCIAL GROUP, LLC
August 10, 2009 - July 15, 2022
NPB FINANCIAL GROUP, LLC
August 10, 2009 - July 15, 2022
NPB FINANCIAL GROUP, LLC
June 25, 2003 - August 12, 2009
ASSOCIATED SECURITIES CORP.
June 25, 2003 - August 12, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
June 20, 2003 - August 12, 2009
ASSOCIATED SECURITIES CORP.
January 12, 1999 - June 27, 2003
SENTRA SECURITIES CORPORATION
December 9, 1998 - June 27, 2003
SENTRA SECURITIES CORPORATION
February 23, 1998 - December 11, 1998
BANCNORTH INVESTMENT GROUP, INC.
January 3, 1997 - February 13, 1998
CETERA INVESTMENT SERVICES LLC
April 11, 1995 - December 31, 1996
AFS BROKERAGE, INC.
November 9, 1993 - April 13, 1995
CHARLES SCHWAB & CO., INC.
May 11, 1993 - August 5, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 19, 1992 - May 7, 1993
ARAGON FINANCIAL SERVICES, INC.
June 5, 1991 - November 2, 1992
UBS FINANCIAL SERVICES INC.
May 14, 1988 - June 7, 1991
LEHMAN BROTHERS INC.
February 22, 1988 - May 14, 1988
E. F. HUTTON & COMPANY INC
October 31, 1987 - March 1, 1988
AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.
June 23, 1987 - December 31, 1987
ADVANTAGE CAPITAL CORPORATION
March 18, 1987 - June 27, 1987
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/15/2022)
(7/15/2022)
(7/15/2022)
(10/23/2025)
(7/15/2022)
(10/23/2025)
(10/28/2022)
(10/28/2022)
(7/15/2022)
(10/28/2022)
(7/15/2022)
(7/15/2022)
(10/12/2022)
(7/15/2022)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
