Tracy A. Miller
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.
Tracy Ann Miller, CFP®, who also goes by Tracy Ann Gleason, Tracy A Miller, Tracy Ann Wold, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1993. Tracy had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
February 22, 2023 - May 4, 2026
CX INSTITUTIONAL, LLC
August 26, 2019 - February 6, 2023
MILLER PRIVATE WEALTH LLC
October 25, 2018 - September 30, 2019
THIRD SEVEN ADVISORS, LLC
March 23, 2010 - April 24, 2019
PORTFOLIO WEALTH ADVISORS
July 27, 1999 - September 11, 2009
CHARLES SCHWAB & CO., INC.
November 17, 1997 - September 11, 2009
CHARLES SCHWAB & CO., INC.
July 12, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 12, 1996 - November 18, 1997
SIGNATOR INVESTORS, INC.
April 8, 1996 - June 18, 1996
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
September 21, 1994 - January 26, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1993 - July 15, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
CX INSTITUTIONAL, LLC
CRD#: 292627 / SEC#: 801-112742
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
CX INSTITUTIONAL, LLC
CRD#: 292627 / SEC#: 801-112742
Contact information
SEC notice filing (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,284 |
| AUM (Assets Under Management) | $ 4,121,239,331 |
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.
