Tracey Hill
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 Hill, who also goes by Tracey Ann Buttolph, Tracey Buttolph, Tracey Ann Douglass, Tracey Ann Hill, Tracy Hill, Tracey Hill, Tracey Ann Manning, Tracey Douglass Manning, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1997. Tracey had worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 31, Series 7, Series 53, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2019 - March 3, 2022
NYLIFE SECURITIES LLC
April 17, 2015 - May 14, 2019
UBS FINANCIAL SERVICES INC.
April 17, 2015 - May 14, 2019
UBS FINANCIAL SERVICES INC.
April 20, 2011 - April 6, 2015
EAGLE STRATEGIES LLC
April 20, 2011 - April 6, 2015
NYLIFE SECURITIES LLC
January 2, 2009 - January 21, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 9, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 9, 2004 - January 21, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 18, 2004 - September 2, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
November 18, 2002 - August 29, 2003
NCF FINANCIAL SERVICES, INC.
January 22, 2002 - November 25, 2002
NBC CAPITAL MARKETS GROUP, INC.
April 27, 1998 - July 6, 2000
J.C. BRADFORD & CO.
February 3, 1997 - April 13, 1998
TRUIST SECURITIES, INC.
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 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.
