Tracy L. Marcus
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 Lynn Marcus, who also goes by Tracy Lynn Greenwalt, Tracy Lynn Wilson, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1995. Tracy had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2013 - February 4, 2019
SAMUEL A. RAMIREZ & COMPANY, INC.
April 27, 2009 - May 16, 2013
JEFFERIES LLC
March 18, 2002 - July 30, 2007
MORGAN KEEGAN & COMPANY, LLC
January 13, 2001 - May 1, 2001
DEUTSCHE BANK SECURITIES INC.
September 5, 2000 - January 13, 2001
DB ALEX. BROWN LLC
October 1, 1999 - August 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 18, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 24, 1995 - December 2, 1997
BOWLES HOLLOWELL CONNER & CO.
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
SAMUEL A. RAMIREZ & COMPANY, INC.
CRD#: 6963 / SEC#: , 8-19014
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAR HOLDINGS, INC. | HOLDING COMPANY | |
| GOLDMAN, LAWRENCE F | MANAGING DIRECTOR | 1134640 |
| KICK, MICHAEL J | SR. VP/ CFO/ FIN OP | 4480676 |
| KOFFER, JOSEPH | CHIEF COMPLIANCE OFFICER | 6043686 |
| MAZZARO, VINCENT ANTHONY | COO | 2665339 |
| PERROTTA, THOMAS | MANAGING DIRECTOR | 1864851 |
| RAMIREZ, SAMUEL ALFRED | PRESIDENT & DIRECTOR/SECRETARY | 827095 |
| RAMIREZ,, SAMUEL ALFRED JR | MANAGING DIRECTOR | 2261054 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
