Tracey C. Weller
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.
Tracey Charmaine Weller, who also goes by Tracey Belmonte, Tracey C Dier, Tracey Charmaine Dier, Tracy Charmaine Dier, Tracey Ignace, Tracey Panfil, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1994. Tracey had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2015 - December 3, 2015
REALTA EQUITIES, INC.
April 9, 2015 - December 3, 2015
REALTA INVESTMENT ADVISORS, INC
May 29, 2009 - June 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2009 - June 10, 2013
WELLS FARGO CLEARING SERVICES, LLC
April 8, 2003 - June 12, 2009
TRUIST INVESTMENT SERVICES, INC.
May 26, 2000 - June 12, 2009
TRUIST INVESTMENT SERVICES, INC.
April 3, 1997 - May 26, 2000
CRESTAR SECURITIES CORPORATION
June 19, 1995 - April 4, 1997
GUARANTY BROKERAGE SERVICES, INC.
November 25, 1994 - June 19, 1995
WALL STREET ACCESS
July 28, 1994 - November 17, 1994
AMSOUTH INVESTMENT SERVICES, INC.
February 14, 1994 - August 9, 1994
METLIFE INVESTORS DISTRIBUTION COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
