Tracy M. Spaeth
Professional summary
Tracy Morgan Spaeth was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tracy is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Tracy had worked at 7 firms, which includes UNCOMMON FINANCIAL SERVICES L.C., BROKERSXPRESS LLC, LPL FINANCIAL LLC, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2010 - October 1, 2013
UNCOMMON FINANCIAL SERVICES, L.C.
July 15, 2009 - December 22, 2010
BROKERSXPRESS LLC
July 15, 2009 - December 22, 2010
BROKERSXPRESS LLC
July 9, 2009 - July 10, 2009
BROKERSXPRESS LLC
July 9, 2009 - July 10, 2009
BROKERSXPRESS LLC
November 23, 1999 - July 21, 2009
LPL FINANCIAL LLC
November 23, 1999 - July 21, 2009
LPL FINANCIAL LLC
March 2, 1998 - December 8, 1999
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
November 22, 1994 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
October 25, 1989 - November 23, 1994
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
UNCOMMON FINANCIAL SERVICES, L.C.
CRD#: 154367 / SEC#:
Contact information
Red Flags
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