Traci R. Roberts
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.
Traci Rose Roberts, who also goes by Traci Rose Chatman, Traci Rose Dabbs, Traci Rose Hodge, Traci Hodge, Traci Roberts, was a registered financial professional .
Traci is a previously registered financial professional and started their career in finance in 1993. Traci had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - December 31, 2024
EDELMAN FINANCIAL ENGINES
April 22, 2016 - October 15, 2019
RETIREONE INVESTMENT SERVICES, LLC
October 24, 2013 - November 1, 2018
EDELMAN FINANCIAL SERVICES, LLC
October 23, 2013 - April 22, 2016
SANDERS MORRIS LLC
January 2, 2009 - October 15, 2013
AUGUSTAR DISTRIBUTORS, INC.
April 4, 2007 - October 15, 2013
ON INVESTMENT MANAGEMENT CO
May 5, 2005 - October 15, 2013
THE O.N. EQUITY SALES COMPANY
August 3, 2004 - April 27, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 27, 2005
WELLS FARGO CLEARING SERVICES, LLC
January 17, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 22, 2000 - January 8, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 26, 1994 - August 3, 2000
CITIGROUP GLOBAL MARKETS INC.
November 1, 1993 - September 12, 1994
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
