Tracy Lee West
Professional Summary
Tracy Lee West, who also goes by Tracy West, was a registered financial advisor. Tracy was a previously registered financial professional and started their career in finance 1988 - 2013. Tracy had worked at 7 firms and has passed the Series 63, Series 7, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tracy West
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
39 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
WAYNE HUMMER & CO. | WINTRUST WEALTH SERVICES | WINTRUST WEALTH MANAGEMENT | WINTRUST PRIVATE CLIENT GROUP | WINTRUST INVESTMENTS, LLC | WINTRUST INVESTMENTS LLC | WINTRUST INVESTMENTS INSURANCE AGENCY, LLC | WINTRUST INVESTMENTS | WAYNE HUMMER INVESTMENTS L.L.C. | WAYNE HUMMER INVESTMENTS
Contact Information
Main Address
231 South Lasalle Street 13th Floor, Chicago, IL 60604Mailing Address
Po Box 750, Chicago, IL 60606-0750Phone Number
(312) 431-1700Established
Delaware since 01/31/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
178Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WINTRUST BANK | SOLE DIRECT OWNER | — |
| CARLISLE, PAUL CLAYTON | DIRECTOR | 6314743 |
| CORBETT, JAMES EDWARD | CHIEF OPERATIONS OFFICER | 2371982 |
| GETZ, BERT ATWATER JR | DIRECTOR | 4588181 |
| GLABE, MARLA FRIEDMAN | DIRECTOR | 2339176 |
| HEITMANN, SCOTT KEITH | DIRECTOR | 2351200 |
| KAMRADT, MICHAEL PAUL | DIRECTOR | 1562014 |
| MCKINNEY, SUZET MEYLIEU | DIRECTOR | 7069598 |
| SARILLO, CELENA ROLDAN | DIRECTOR | 7069597 |
| SILVER, ELLIOTT JOSEPH | CHIEF COMPLIANCE OFFICER | 1594446 |
| SMYTH, MICHAEL J | CHIEF FINANCIAL OFFICER | 2802717 |
| SOMMERFIELD, JAMES ALFRED JR | SR. COMPLIANCE OFFICER, INSURANCE PRINCIPAL | 2841304 |
| STAFFORD, INGRID S. | DIRECTOR | 7497076 |
| ZIDAR, THOMAS PATRICK | CHAIRMAN & CEO | 2128329 |
Regulatory Assets Under Management
Total Number of Accounts
10,969AUM (Assets Under Management)
$14,417,827,726Disclosures
Regulatory Event
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | Cover Page | Report |
| 09/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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