Tracy R. Fletcher
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 R Fletcher, who also goes by Tracy R Fletcher, Tracy Roubidoux Fletcher, Tracy Fletcher, Tracy Lynn Robinson, Tracy Lynn Roubidoux, Tracy Roubidoux, Tracy Lynn Robinson, Tracy Lynn Roubidoux, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1994. Tracy had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
March 29, 2017 - December 5, 2017
CUNA BROKERAGE SERVICES, INC.
March 28, 2017 - December 5, 2017
CUNA BROKERAGE SERVICES, INC.
February 23, 2017 - March 21, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 12, 2011 - September 8, 2016
ALLSTATE FINANCIAL ADVISORS, LLC
March 9, 2011 - September 8, 2016
ALLSTATE FINANCIAL SERVICES, LLC
January 5, 2005 - March 4, 2011
MML INVESTORS SERVICES, LLC
January 4, 2005 - March 4, 2011
MML INVESTORS SERVICES, LLC
March 10, 2004 - December 2, 2004
FIRST HORIZON ADVISORS, INC.
September 18, 2003 - December 2, 2004
FIRST HORIZON ADVISORS, INC.
February 11, 1999 - September 17, 2003
EDWARD JONES
January 5, 1996 - September 17, 2003
EDWARD JONES
August 24, 1994 - December 7, 1995
MERCANTILE INVESTMENT SERVICES, INC.
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
