Eugene S. Tracey

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CRD#: 2331948

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.

Eugene Stanley Tracey was a registered financial professional .

Eugene is a previously registered financial professional and started their career in finance in 1993. Eugene had worked at 4 firms and has passed the SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 16, 2001 - December 8, 2020

MWA FINANCIAL SERVICES INC.

CRD#: 112630

MENTOR, OH

Past

January 31, 2000 - November 16, 2001

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

September 30, 1993 - December 31, 1999

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

August 12, 1993 - October 1, 1993

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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".

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA

Registered Investment Advisory firm - SEC (1/4/2016 Approved)

Alabama

Registered Investment Advisory firm - SEC (4/11/2016 Terminated)

Arizona

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

California

Registered Investment Advisory firm - SEC (1/3/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/12/2016 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/1/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (1/29/2016 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Maine

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Michigan

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/13/2013 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/13/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/12/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (3/29/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (1/21/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/13/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/9/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MWA FINANCIAL SERVICES INC.

MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA

Registered Investment Advisory firm - SEC (1/4/2016 Approved)

Alabama

Registered Investment Advisory firm - SEC (4/11/2016 Terminated)

Arizona

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

California

Registered Investment Advisory firm - SEC (1/3/2010 Terminated)

Colorado

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

Georgia

Registered Investment Advisory firm - SEC (2/12/2016 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/1/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Indiana

Registered Investment Advisory firm - SEC (1/29/2016 Terminated)

Iowa

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Kansas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (12/18/2013 Terminated)

Maine

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Maryland

Registered Investment Advisory firm - SEC (12/31/2015 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Michigan

Registered Investment Advisory firm - SEC (2/2/2016 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (12/13/2013 Terminated)

Nebraska

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (4/13/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Ohio

Registered Investment Advisory firm - SEC (1/28/2016 Terminated)

Oklahoma

Registered Investment Advisory firm - SEC (12/12/2013 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (1/20/2016 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (3/29/2016 Terminated)

Texas

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Virginia

Registered Investment Advisory firm - SEC (1/27/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (1/21/2016 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1701 1st Avenue, Rock Island, IL 61201

Mailing Address

1701 1st Avenue, Rock Island, IL 61201

Phone number

(309) 558-3100

Established

Illinois since 02/02/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

674

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MWAFS FORM CRS 7-2021 (3/31/2025)

MWAFS MANAGED ACCOUNTS BROCHURE PART 2A APPENDIX 1_3-28-2025 (3/31/2025)

MWAFS FINANCIAL PLANNING BROCHURE ADV PART 2A 3/28/2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
MODERN WOODMEN OF AMERICA	PARENT CO.
BOHNERT, LESTER LEE	DIRECTOR	6933862
DOYLE, SHEA EUGENE	SECRETARY/DIRECTOR	4577202
EIGENBROD, NEIL THOMAS	FINOP	5615693
JENSEN, DAWN M	CHIEF OPERATIONS OFFICER	4936560
LYPHOUT, JERALD JAMES	DIRECTOR	4148959
POGEMILLER, CLINT JOSEPH	PRESIDENT/CHAIRMAN	2977743
RECH, KELLIE MARIE	CHIEF COMPLIANCE OFFICER	4863283
SIMMS, CHARLES EDMUND	DIRECTOR	2553306
SWANSON, TODD DAVID	TREASURER	4844282
VAN, BRETT MATTHEW	DIRECTOR	6543047

Regulatory assets under management

Total Number of Accounts	2,298
AUM (Assets Under Management)	$ 376,859,066

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Eugene S. Tracey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCUST STREET SECURITIES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MWA FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 7/13/1993

Series 26

Date: 11/9/2001

Current Firm

MWA FINANCIAL SERVICES INC.

Contact information

SEC notice filing (48 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

MWA FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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