Tracey C. Anton

T. ANTON INVESTMENT HOUSE

MADISON, WI

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CRD#: 2457436

Professional summary

Tracey Carol Anton, CFP® is a registered financial advisor currently at T. ANTON INVESTMENT HOUSE, INC. located in Madison, Wisconsin.

Tracey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Tracey has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 51, Series 24 and Series 28 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Tax Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Carol Anton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

March 13, 2015 - Present

T. ANTON INVESTMENT HOUSE, INC.

RIA

CRD#: 174970

MADISON, WI

Past

November 8, 1994 - April 10, 2015

GOOGINS ADVISORS, INC

RIA

CRD#: 13985

MIDDLETON, WI

Past

August 31, 1994 - April 10, 2015

GOOGINS ADVISORS, INC

CRD#: 13985

MIDDLETON, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

T. ANTON INVESTMENT HOUSE, INC.

CRD#: 174970 / SEC#: 801-108785

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/9/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/5/2016)

IAR

Florida
(2/12/2021)

IAR

Illinois
(10/18/2021)

IAR

Minnesota
(9/7/2017)

IAR

Wisconsin
(3/13/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/29/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 5/14/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 28

Date: 11/29/1996

Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

T. ANTON INVESTMENT HOUSE, INC.

CRD#: 174970 / SEC#: 801-108785

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

Arizona

Registered Investment Advisory firm - (3/1/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/9/2017 Terminated)

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Contact information

Main Address

708 Heartland Trail Suite #3000, Madison, WI 53717-2174

Mailing Address

Phone number

(608) 501-1549

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2AB FOR T. ANTON INVESTMENT HOUSE, INC. (3/12/2025)

Regulatory assets under management

Total Number of Accounts	869
AUM (Assets Under Management)	$ 331,877,251

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.

Contact information

xxxxx@xxxx.xxx

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Tracey C. Anton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Carol Anton's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOOGINS ADVISORS, INC

GOOGINS ADVISORS, INC

Primary Firm SEC Registration

T. ANTON INVESTMENT HOUSE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/7/1994

SIE

Date: 4/10/2015

Series 7

Date: 8/29/1994

Series 53

Date: 7/29/2010

Series 51

Date: 5/14/2003

Series 24

Date: 2/3/2003

Series 28

Date: 11/29/1996

Current Firm

T. ANTON INVESTMENT HOUSE, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

T. ANTON INVESTMENT HOUSE, INC.

TRUST BUT VERIFY

Contact information

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