Tracey E. Flaherty
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 Esherick Flaherty, who also goes by Tracey E Curvey, Tracey Esherick Curvey, Tracey A. Esherick, Tracey Anne Esherick, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1987. Tracey had worked at 6 firms and has passed the Series 63, SIE, 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
January 6, 2009 - February 15, 2018
NATIXIS DISTRIBUTION, LLC
October 20, 2004 - December 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 9, 2004 - October 20, 2004
QUICK & REILLY, INC.
February 18, 2000 - August 14, 2003
FIDELITY DISTRIBUTORS CORPORATION
March 12, 1998 - August 14, 2003
FIDELITY BROKERAGE SERVICES LLC
January 13, 1997 - March 10, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
January 4, 1991 - December 31, 1996
FIDELITY BROKERAGE SERVICES LLC
April 14, 1987 - December 31, 1990
FIDELITY DISTRIBUTORS CORPORATION
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
NATIXIS DISTRIBUTION, LLC
CRD#: 34754 / SEC#: , 8-46325
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIXIS INVESTMENT MANAGERS, LLC | SOLE MEMBER | |
| GIUNTA, DAVID LAWRENCE | PRESIDENT, CHIEF EXECUTIVE OFFICER | 2290469 |
| LOUREIRO, ANTHONY DAVID | CHIEF COMPLIANCE OFFICER | 2087464 |
| PINASMITH, BEATRIZ ANA | EXECUTIVE VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER | 2220599 |
| ROSH, MARILYN VINTON | SENIOR VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4206001 |
| TOBIN, SUSAN MCWHAN | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | 4649471 |
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.
