Tracy M. Dejaynes
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 Marie Dejaynes, who also goes by Tracy M. Cottle, Tracy Marie Cottle, Tracy Marie De Jaynes, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1993. Tracy had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2015 - May 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 9, 2015 - May 9, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2013 - January 22, 2014
MORGAN STANLEY
March 12, 2012 - February 26, 2013
ASSOCIATED INVESTMENT SERVICES, INC.
January 14, 2010 - November 18, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
September 1, 2009 - December 31, 2009
D.A. DAVIDSON & CO.
February 26, 2008 - June 24, 2008
FIRST BROKERAGE AMERICA, L.L.C.
March 14, 2007 - March 22, 2007
J.P. MORGAN SECURITIES INC.
February 9, 2005 - December 7, 2006
CITIGROUP GLOBAL MARKETS INC.
October 11, 2004 - January 10, 2005
GUARANTY BROKERAGE SERVICES, INC.
October 11, 2000 - November 25, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 28, 1999 - August 17, 2000
WELLS FARGO SECURITIES, LLC
August 13, 1998 - June 29, 1999
MORGAN STANLEY DW INC.
February 25, 1998 - July 2, 1998
WELLS FARGO CLEARING SERVICES, LLC
November 25, 1997 - February 6, 1998
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1993 - August 15, 1997
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
