Tracy L. Carson
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.
Tracy Lynn Carson, who also goes by Tracy Lynn Hole, Tracy Hole, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1989. Tracy had worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 3, Series 24, Series 53 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
February 17, 2010 - April 20, 2011
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
November 6, 2009 - August 11, 2020
WELLS FARGO SECURITIES, LLC
June 26, 2006 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - February 18, 2005
WELLS FARGO INVESTMENTS, LLC
July 27, 1995 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 11, 1993 - June 2, 1995
TRUSTED SECURITIES ADVISORS CORP.
June 7, 1991 - June 22, 1992
UBS FINANCIAL SERVICES INC.
February 1, 1991 - May 1, 1991
DAIN RAUSCHER INCORPORATED
December 19, 1989 - February 4, 1991
WESSELS, ARNOLD & HENDERSON, L.L.C.
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
Series 7TO
Date: 1/19/2024
General Securities Representative ExaminationSeries 79TO
Date: 1/19/2024
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/19/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/19/2024
Operations Professional ExaminationCurrent Firm
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
CRD#: 5958 / SEC#: , 8-16600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO GAMING CAPITAL, LLC. | PARENT | |
| ALTAMURA, VINCENT | SECRETARY | 5794473 |
| DEROCHI, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER | 2072858 |
| HIGHUM, JON ALAN | PRESIDENT | 1848219 |
| MULLINS, TIMOTHY PAUL | DIRECTOR | 1591930 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER | 724703 |
| PRIMAVERA, TODD GERALD | CHIEF OPERATIONS OFFICER | 2416001 |
| WEISS, JONATHAN GEOFFREY | DIRECTOR | 2362764 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
