Tracy D. Fielder
Professional summary
Tracy Dwayne Fielder is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Houston, Texas and INVESCO DISTRIBUTORS, INC. located in Houston, Texas.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tracy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Dwayne Fielder's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2017 - Present
INVESCO ADVISERS, INC.
Office #1: 11 Greenway Plaza Ste 1000, Houston, TX 77046April 26, 2010 - Present
INVESCO DISTRIBUTORS, INC.
Office #1: 11 Greenway Plaza Suite 100, Houston, TX 77046November 19, 2001 - October 29, 2009
VALIC FINANCIAL ADVISORS, INC.
November 21, 1997 - August 19, 1999
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2010)
(8/11/2017)
Exams
FINRA
Current Firm
INVESCO ADVISERS, INC.
CRD#: 105360 / SEC#: 801-33949
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 09/27/2024 | ||
| 10/27/2023 |
Red Flags
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