Michael P. Tracy
Professional summary
Michael Patrick Tracy, CFP®, who also goes by Michael P Tracy, is a registered financial advisor currently at PRINCIPIUM INVESTMENTS LLC located in Boulder, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Michael has worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Patrick Tracy's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1994
Experience
May 12, 2008 - Present
PRINCIPIUM INVESTMENTS LLC
March 18, 2003 - December 10, 2008
SARASOTA ASSET MANAGEMENT, INC.
June 6, 2002 - October 15, 2003
LPL FINANCIAL LLC
April 23, 2002 - October 15, 2003
LPL FINANCIAL LLC
December 9, 1992 - May 1, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 18, 1992 - November 28, 1992
INTEGRITY SECURITIES GROUP
April 1, 1991 - April 14, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 26, 1988 - April 1, 1991
PW SECURITIES, INC.
Primary Firm SEC Registration
PRINCIPIUM INVESTMENTS LLC
CRD#: 124989 / SEC#: 801-61768
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/12/2008)
(1/12/2009)
(8/4/2015)
(5/12/2008)
Exams
Current Firm
PRINCIPIUM INVESTMENTS LLC
CRD#: 124989 / SEC#: 801-61768
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 198,343,689 |
Red Flags
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