Tracy A. Edwards
Professional summary
Tracy Allen Edwards 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 professional and started their career in finance in 1993. Prior to being barred, Tracy had worked at 10 firms, which includes STERLING FINANCIAL INVESTMENT GROUP INC., NATIONAL SECURITIES CORPORATION, THE AGEAN GROUP INC, RICHMARK CAPITAL CORPORATION, H.J. MEYERS & CO. INC., BARRON CHASE SECURITIES INC., ROTH CAPITAL PARTNERS LLC, CHATFIELD DEAN & CO. INC., CITIGROUP GLOBAL MARKETS INC., WOODBURY FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2001 - December 31, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 12, 2000 - February 1, 2001
NATIONAL SECURITIES CORPORATION
July 19, 1999 - September 20, 2000
THE AGEAN GROUP, INC
October 21, 1998 - May 25, 1999
RICHMARK CAPITAL CORPORATION
June 23, 1997 - October 5, 1998
H.J. MEYERS & CO., INC.
February 5, 1997 - June 9, 1997
BARRON CHASE SECURITIES, INC.
September 27, 1996 - February 20, 1997
ROTH CAPITAL PARTNERS, LLC
May 16, 1996 - August 23, 1996
ROTH CAPITAL PARTNERS, LLC
March 30, 1995 - May 9, 1996
CHATFIELD DEAN & CO., INC.
February 1, 1995 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
September 9, 1993 - May 6, 1994
WOODBURY FINANCIAL 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
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
