Tracy S. Hennrich
Professional summary
Tracy Scott Hennrich, who also goes by Tracy S Hennrich, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Venice, Florida.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1998. Tracy has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy Scott Hennrich's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2014 - Present
EMPOWER FINANCIAL SERVICES, INC.
July 16, 2013 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 24, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 1, 2008 - July 17, 2013
J.P. MORGAN SECURITIES LLC
November 29, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 21, 2005 - December 4, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 1, 2003 - November 21, 2005
BROWNCO, LLC
September 2, 1999 - July 24, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 10, 1998 - January 22, 1999
AMERICAN CENTURY 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
(6/17/2025)
(9/2/2014)
(9/2/2014)
(9/2/2014)
(6/17/2025)
(9/2/2014)
(9/2/2014)
(9/2/2014)
Exams
FINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| 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.
