Tracy A. Harrington
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 Ann Harrington, who also goes by Tracy Ann Norton, Tracy Norton-harrington, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1989. Tracy had worked at 4 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2021 - January 10, 2023
FRANKLIN DISTRIBUTORS, LLC
February 18, 2020 - July 7, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
February 25, 2008 - December 18, 2018
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
December 12, 2006 - February 25, 2008
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
April 4, 2000 - December 12, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
September 16, 1994 - April 10, 2000
TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.
April 10, 1989 - September 16, 1994
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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