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TC

Tracy A. Colson

WOODLEY FARRA
Indianapolis, IN 46240
Some features on this profile are disabled
CRD#: 2323158
TC

Professional summary

Tracy Ann Colson, who also goes by Tracy Ann Lawson, is a registered financial advisor currently at WOODLEY FARRA located in Indianapolis, Indiana.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Tracy has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tracy Ann Lawson

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 Tracy Ann Colson'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

February 10, 2025 - Present

WOODLEY FARRA

Office #1: 8555 N. River Road Suite 400, Indianapolis, IN 46240
RIA
CRD#: 107660
Indianapolis, IN
Past

April 16, 2013 - April 12, 2022

GOELZER INVESTMENT MANAGEMENT

RIA
CRD#: 44402
INDIANAPOLIS, IN
Past

April 16, 2013 - June 23, 2015

GOELZER INVESTMENT MANAGEMENT

BD
CRD#: 44402
INDIANAPOLIS, IN
Past

October 1, 2008 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
INDIANAPOLIS, IN
Past

October 1, 2008 - April 5, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
INDIANAPOLIS, IN
Past

September 27, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA
CRD#: 18718
INDIANAPOLIS, IN
Past

July 1, 2006 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
INDIANAPOLIS, IN
Past

October 26, 2004 - September 27, 2006

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
INDIANAPOLIS, IN
Past

July 19, 2004 - July 1, 2006

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
INDIANAPOLIS, IN
Past

May 9, 2003 - July 23, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 25, 2000 - May 13, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 28, 1997 - July 11, 2000

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY

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".
WF
WOODLEY FARRA
FARRA & CO. LLP | WOODLEY FARRA MANION PORTFOLIO MANAGEMENT INC | WOODLEY FARRA

CRD#: 107660 / SEC#: 801-50387

RIA
Registered Investment Advisory firm - (10/18/1995 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
Indiana
(2/10/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/10/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/25/1997
General Securities Representative Examination

Current Firm

WF
WOODLEY FARRA
FARRA & CO. LLP | WOODLEY FARRA MANION PORTFOLIO MANAGEMENT INC | WOODLEY FARRA

CRD#: 107660 / SEC#: 801-50387

RIA
Registered Investment Advisory firm - (10/18/1995 Approved)
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Contact information

Main Address
8555 N. River Road Suite 400, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 269-0224
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WOODLEY FARRA MANION PORTFOLIO MANAGEMENT, INC. (3/26/2025)

Regulatory assets under management

Total Number of Accounts1,529
AUM (Assets Under Management)$ 2,149,976,812

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.

Company Information

WOODLEY FARRA

CRD#: 107660Indianapolis, IN 46240

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