Tracy L. Nelson
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 Nelson was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1988. Tracy had worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2025 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
March 26, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 26, 2018 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
January 31, 2014 - January 5, 2026
CETERA INVESTMENT ADVISERS LLC
February 7, 2013 - January 5, 2026
CETERA WEALTH SERVICES, LLC
February 7, 2013 - January 5, 2026
CETERA FINANCIAL SPECIALISTS LLC
February 7, 2013 - January 5, 2026
CETERA ADVISORS LLC
March 8, 2000 - December 31, 2010
GUARANTY BROKERAGE SERVICES, INC.
March 7, 2000 - November 14, 2003
BANCWEST INVESTMENT SERVICES, INC.
August 29, 1996 - November 18, 2009
BANCNORTH INVESTMENT GROUP, INC.
July 18, 1994 - January 5, 2026
CETERA INVESTMENT SERVICES LLC
June 22, 1988 - September 10, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 22, 1988 - September 10, 1991
PRUCO SECURITIES, LLC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 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.
