Tracy W. Peters
Professional summary
Tracy William Peters is a registered financial professional currently at LUMENT SECURITIES, LLC located in Columbus, Ohio.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1993. Tracy has worked at 3 firms and has passed the Series 52TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy William Peters's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2000 - Present
LUMENT SECURITIES, LLC
Office #1: 10 West Broad Street 8th Floor, Columbus, OH 43215April 1, 1999 - October 2, 2000
BANC ONE CAPITAL MARKETS, INC.
October 7, 1993 - April 1, 1999
BANC ONE CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/2/2000)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationFINRA
Current Firm
LUMENT SECURITIES, LLC
CRD#: 14840 / SEC#: , 8-31175
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | SHAREHOLDER | |
| CROFT, JAMES FRANCIS | CHAIRMAN, BOARD OF MANAGERS | 2148025 |
| KIRKWOOD, ROBERT THOMAS | CHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS | 6025468 |
| MAINELLI, KEVIN JOSEPH | MANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER | 1751991 |
| SMITH, MARY AGNES | CHIEF FINANCIAL OFFICER AND FINOP | 2498307 |
Red Flags
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