Joe B. Tracy

THE FIDUCIARY ALLIANCE

ST. SIMONS, GA

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CRD#: 2302139

Professional summary

Joe Barrow Tracy is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in St. Simons, Georgia.

Joe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Joe has worked at 5 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Barrow Tracy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 26, 2024 - Present

THE FIDUCIARY ALLIANCE

RIA

CRD#: 284924

ST. SIMONS, GA

Past

February 18, 2014 - August 23, 2024

BISON WEALTH, LLC

RIA

CRD#: 165931

ATLANTA, GA

Past

September 6, 2004 - December 15, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

ATLANTA, GA

Past

August 19, 2004 - December 15, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

ATLANTA, GA

Past

July 27, 2001 - July 29, 2004

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

March 19, 1993 - July 27, 2001

THE ROBINSON-HUMPHREY COMPANY, LLC

CRD#: 723

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(7/26/2024)

IAR

North Carolina
(8/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/7/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 8/26/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/19/1993

General Securities Representative Examination

Current Firm

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 Approved)

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Contact information

Main Address

135 S Main St Suite 600, Greenville, SC 29601

Mailing Address

Phone number

(864) 385-7999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFA ADV 2A (5/23/2025)

Regulatory assets under management

Total Number of Accounts	6,842
AUM (Assets Under Management)	$ 1,921,956,974

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Joe B. Tracy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Barrow Tracy's CRS (Customer Relationship Summary).

Certified licenses

Experience

BISON WEALTH, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

TRUIST SECURITIES, INC.

THE ROBINSON-HUMPHREY COMPANY, LLC

Primary Firm SEC Registration

THE FIDUCIARY ALLIANCE

State Registrations and Notice Filings

Exams

Series 65

Date: 2/7/2014

Series 63

Date: 7/9/1993

Series 55

Date: 8/26/1998

Series 7

Date: 2/19/1993

Current Firm

THE FIDUCIARY ALLIANCE

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FIDUCIARY ALLIANCE

TRUST BUT VERIFY

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