Tracey G. Straub
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.
Tracey G Straub, who also goes by Tracey Gene Straub, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1992. Tracey had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 8, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2018 - November 18, 2019
CHARLES SCHWAB & CO., INC.
December 3, 2008 - July 13, 2010
MF GLOBAL INC.
April 4, 2006 - October 3, 2008
J.P. MORGAN SECURITIES LLC
January 31, 2005 - September 9, 2005
DEUTSCHE BANK SECURITIES INC.
August 2, 2004 - January 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - January 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 6, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 1, 1998 - June 9, 1999
REPUBLIC FINANCIAL SERVICES CORPORATION
July 21, 1998 - November 24, 1998
PRUCO SECURITIES, LLC.
January 31, 1996 - October 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
September 22, 1995 - January 22, 1996
REPUBLIC FINANCIAL SERVICES CORPORATION
November 29, 1993 - October 25, 1995
ESSEX NATIONAL SECURITIES, LLC
June 18, 1992 - November 2, 1993
INVEST FINANCIAL CORPORATION
January 31, 1992 - December 19, 1992
CENTURY INVESTORS OF AMERICA, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 1/26/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
