Tracy L. Germano
Professional summary
Tracy Lynn Germano, who also goes by Tracy Lynn Smith, is a registered financial advisor currently at FORMIDABLE ASSET MANAGEMENT, LLC located in Vero Beach, Florida.
Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Tracy has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lynn Germano's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 7, 2022 - Present
FORMIDABLE ASSET MANAGEMENT, LLC
March 28, 2013 - October 12, 2022
RAYMOND JAMES & ASSOCIATES, INC.
March 27, 2013 - October 12, 2022
RAYMOND JAMES & ASSOCIATES, INC.
October 14, 2008 - March 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 20, 2008 - March 25, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 16, 2007 - August 25, 2008
BOENNING & SCATTERGOOD, INC.
October 21, 2005 - June 8, 2007
FERRIS, BAKER WATTS, LLC
April 23, 2001 - October 24, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
FORMIDABLE ASSET MANAGEMENT, LLC
CRD#: 167555 / SEC#: 801-77975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/9/2022)
(10/7/2022)
Exams
Current Firm
FORMIDABLE ASSET MANAGEMENT, LLC
CRD#: 167555 / SEC#: 801-77975
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,188 |
| AUM (Assets Under Management) | $ 876,010,541 |
Red Flags
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