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Tracy C. Murdock

PFS INVESTMENTS
Duluth, GA 30099
Some features on this profile are disabled
CRD#: 1654989
TM

Professional summary

Tracy Caroline Murdock is a registered financial professional currently at PFS INVESTMENTS INC. located in Duluth, Georgia and PRIMERICA BROKERAGE SERVICES, INC. located in Duluth, Georgia.

Tracy is registered as a RR (Registered Representative) and started their career in finance in 1987. Tracy has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tracy Caroline Murdock's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 24, 1998 - Present

PFS INVESTMENTS INC.

Office #1: 1 Primerica Parkway, Duluth, GA 30099
RIA
BD
CRD#: 10111
Duluth, GA
Current

April 6, 2023 - Present

PRIMERICA BROKERAGE SERVICES, INC.

Office #1: 1 Primerica Parkway, Duluth, GA 30099
BD
CRD#: 322250
Duluth, GA
Past

May 22, 1987 - December 31, 1988

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Georgia
(1/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/13/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/29/1998
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PB
PRIMERICA BROKERAGE SERVICES, INC.
PRIMERICA BROKERAGE SERVICES, INC.

CRD#: 322250 / SEC#: , 8-70965

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1 Primerica Parkway, Duluth, GA 30099
Mailing Address
1 Primerica Parkway, Duluth, GA 30099
Phone number
(770) 381-1000
Established
Georgia since 05/20/2022
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PRIMERICA FINANCE CORPORATIONDIRECT OWNER
COLEY, DASIA DEBORAHCHIEF FINANCIAL OFFICER / FINOP6760291
NEMETZ, WILLIAM JAMESDIRECTOR, EXECUTIVE VICE PRESIDENT & CHIEF OPERATIONS OFFICER4589878
REGARD, PAUL ETIENNEDIRECTOR, CHIEF EXECUTIVE OFFICER & PRESIDENT2448671
WEIGLE, BRIAN STEVENDIRECTOR & EXECUTIVE VICE PRESIDENT4131816
WELLS, MICHAEL KURTEXECUTIVE VICE PRESIDENT & TREASURER5999501
WOODRING, DANIEL AARONEXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER4028705

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.

Company Information

PRIMERICA BROKERAGE SERVICES, INC.

CRD#: 322250Duluth, GA 30099

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