Tracy J Croteau
Professional Summary
Tracy J Croteau, who also goes by Tracy Jean Croteau, Tracy J Thompson, is a registered financial advisor currently at VP DISTRIBUTORS, LLC located in Greenfield, Massachusetts. Tracy is registered as a RR (Registered Representative) and started their career in finance in 1992. Tracy has worked at 1 firm and has passed the SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tracy Jean Croteau, Tracy J Thompson
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
Years of Experience
34 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
Current Firm
PHOENIX EQUITY PLANNING CORPORATION | VP DISTRIBUTORS, LLC | VP DISTRIBUTORS LLC | VP DISTRIBUTORS INC
Contact Information
Main Address
One Financial Plaza, Hartford, CT 06103Mailing Address
One Financial Plaza, Hartford, CT 06103Phone Number
(860) 503-1348Established
Delaware since 09/30/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTUS PARTNERS, INC | SOLE MEMBER | — |
| BACHRACH, IAN | SENIOR MANAGING DIRECTOR, MARKETING | 2797509 |
| BICKS, MICHAEL WAYNE | MANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE | 5450963 |
| DANOS, CHRISTOPHER ROBERT | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2716625 |
| FRANCO, THOMAS RICHARD | SENIOR MANAGING DIRECTOR, RETAIL SALES | 2651546 |
| GRISWOLD, HEIDI CHRISTINE | VICE PRESIDENT, FUND SERVICES | 2304631 |
| HANLEY, DAVID GEORGE JR | SENIOR VICE PRESIDENT AND TREASURER | 5455435 |
| KATZ, DAVID JAY | SENIOR MANAGING DIRECTOR, INSTITUTIONAL | 2813039 |
| MACCONE, JOSEPH EDMUND | SENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION | 4273677 |
| MANDINACH, BARRY MITCHELL | EXECUTIVE VICE PRESIDENT | 1234185 |
| PERLMAN, DIANA MARIE | CHIEF COMPLIANCE OFFICER | 2555302 |
| PURKALITIS, ANDRA CYNTHIA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 3070864 |
Disclosures
Regulatory Event
1Bond
3Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1992About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Oct 2014About the Series 26 examSRO Registrations
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Tracy J Croteau's CRS (Customer Relationship Summary).
Similar Advisors
PFS INVESTMENTS INC.
FINANCIAL PLANNING HAWAII, INC.
OSAIC WEALTH, INC.
RBC CAPITAL MARKETS, LLC