Tracy L. Firmin
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 Leigh Firmin, who also goes by Tracy Leigh Braver, Tracy Braver, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1994. Tracy had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 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
January 19, 2024 - September 20, 2024
FINALIS SECURITIES LLC
September 15, 2020 - January 25, 2022
ROBINHOOD SECURITIES, LLC
May 15, 2020 - July 15, 2022
ROBINHOOD FINANCIAL, LLC
November 17, 2011 - August 28, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 27, 2011 - November 3, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 28, 2006 - November 3, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 4, 2001 - December 8, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 14, 1994 - July 27, 2000
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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