TW
Tracy C. Wills-zapata
PIMCO INVESTMENTS LLC
Miami, FL 33131
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CRD#: 2601580
TW
Professional summary
Tracy Cecile Wills-zapata, who also goes by Tracy Wills, Tracy Wills-zapata, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 2004. Tracy has worked at 6 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tracy Wills | Tracy Wills-Zapata
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.
CRS (Client Relationship Summary) - BD
Click below to view Tracy Cecile Wills-zapata's 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®
NoneExperience
Current
April 29, 2021 - Present
PIMCO INVESTMENTS LLC
Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131BD
CRD#: 154957
Miami, FL
Past
January 14, 2015 - September 29, 2020
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
CHARLOTTE, NC
Past
January 30, 2009 - November 2, 2009
CAMPBELL & COMPANY, INC.
RIA
CRD#: 121773
BALTIMORE, MD
Past
April 4, 2006 - December 19, 2014
CAMPBELL FINANCIAL SERVICES, LLC
BD
CRD#: 42953
BALTIMORE, MD
Past
February 1, 2005 - December 31, 2005
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
NEW YORK, NY
Past
July 5, 2004 - December 13, 2004
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/29/2021)
RR
Alaska(4/29/2021)
RR
Arizona(4/29/2021)
RR
Arkansas(4/29/2021)
RR
California(4/29/2021)
RR
Colorado(4/29/2021)
RR
Connecticut(4/29/2021)
RR
Delaware(4/29/2021)
RR
District of Columbia(4/29/2021)
RR
Florida(4/29/2021)
RR
Georgia(4/29/2021)
RR
Hawaii(4/29/2021)
RR
Idaho(4/29/2021)
RR
Illinois(4/29/2021)
RR
Indiana(4/29/2021)
RR
Iowa(4/29/2021)
RR
Kansas(4/29/2021)
RR
Kentucky(4/29/2021)
RR
Louisiana(4/29/2021)
RR
Maine(4/29/2021)
RR
Maryland(4/29/2021)
RR
Massachusetts(4/29/2021)
RR
Michigan(4/29/2021)
RR
Minnesota(4/29/2021)
RR
Mississippi(4/29/2021)
RR
Missouri(4/29/2021)
RR
Montana(4/29/2021)
RR
Nebraska(4/29/2021)
RR
Nevada(4/29/2021)
RR
New Hampshire(4/29/2021)
RR
New Jersey(4/29/2021)
RR
New Mexico(4/29/2021)
RR
New York(4/29/2021)
RR
North Carolina(4/29/2021)
RR
North Dakota(4/29/2021)
RR
Ohio(4/29/2021)
RR
Oklahoma(4/29/2021)
RR
Oregon(4/29/2021)
RR
Pennsylvania(4/29/2021)
RR
Rhode Island(4/29/2021)
RR
South Carolina(4/29/2021)
RR
South Dakota(4/29/2021)
RR
Tennessee(4/29/2021)
RR
Texas(4/29/2021)
RR
Utah(4/29/2021)
RR
Vermont(4/29/2021)
RR
Virgin Islands(1/2/2025)
RR
Virginia(4/29/2021)
RR
Washington(4/29/2021)
RR
West Virginia(4/29/2021)
RR
Wisconsin(4/29/2021)
RR
Wyoming(4/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
Company Information
PIMCO INVESTMENTS LLC
CRD#: 154957Miami, FL 33131TRUST BUT VERIFY
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