Paul C. Tracy
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.
Paul Clayton Tracy, who also goes by Paul C Tracy, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1989. Paul had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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 15, 2019 - June 14, 2019
EMPOWER ADVISORY GROUP, LLC
August 7, 2008 - June 14, 2019
EMPOWER FINANCIAL SERVICES, INC.
May 16, 2007 - June 30, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 24, 2000 - June 2, 2006
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
June 2, 1998 - March 3, 2000
COMPULIFE INVESTOR SERVICES, INC.
May 1, 1998 - June 8, 1998
FISCO EQUITY, INC.
October 20, 1997 - March 23, 1998
BNY MELLON SECURITIES CORPORATION
April 18, 1997 - June 9, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
June 11, 1996 - April 10, 1997
DEAM INVESTOR SERVICES, INC.
June 17, 1994 - May 8, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
November 20, 1989 - April 18, 1994
FIDELITY BROKERAGE SERVICES LLC
March 21, 1989 - October 18, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 21, 1989 - October 18, 1989
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
