Jerald R. Tracy
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.
Jerald Richard Fitzgerald Tracy, who also goes by Jerald Richardfitzgerald Tracy, was a registered financial professional .
Jerald is a previously registered financial professional and started their career in finance in 1987. Jerald had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2015 - September 12, 2018
SEA OTTER SECURITIES GROUP LLC
February 14, 2002 - March 14, 2005
BNY CAPITAL MARKETS INC.
September 22, 1987 - July 12, 1990
J.P. MORGAN SECURITIES INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/3/2015
Limited Representative-Equity Trader ExamCurrent Firm
SEA OTTER SECURITIES GROUP LLC
CRD#: 171630 / SEC#: , 8-69472
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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