Tracy L. Klein
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 Lee Klein was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1996. Tracy had worked at 2 firms and has passed the Series 63, Series 55, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2003 - July 17, 2013
FURTHER LANE SECURITIES, L.P.
October 1, 1996 - July 17, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Series 55
Date: 2/7/2000
Limited Representative-Equity Trader ExamCurrent Firm
FURTHER LANE SECURITIES, L.P.
CRD#: 38162 / SEC#: , 8-48207
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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