Tracy A. Eveigan
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 Anne Eveigan, who also goes by Tracy Ann Eveigan, Tracy Anne Lyons, Tracy Lyons, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1997. 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
January 17, 2002 - March 31, 2016
SUMMIT EQUITIES, INC.
November 5, 1999 - February 28, 2001
ICLEARING LLC
December 15, 1998 - August 17, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 8, 1998 - July 2, 1999
PRUCO SECURITIES, LLC.
April 16, 1997 - June 12, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES 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
Current Firm
SUMMIT EQUITIES, INC.
CRD#: 11039 / SEC#: 801-39162, 8-27556
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISS, CRAIG BARRY | CHIEF COMPLIANCE OFFICER | 2354195 |
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.
