Tracy L. Frank
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 Loranne Frank, who also goes by Tracy Marti, Tracy Nally, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1995. Tracy had worked at 5 firms and has passed the Series 65, Series 63 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
December 14, 2000 - March 9, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - March 9, 2001
WELLS FARGO INVESTMENTS, LLC
January 21, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
July 18, 1995 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, 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
Current Firm
WELLS FARGO BROKERAGE SERVICES, L.L.C.
CRD#: 16100 / SEC#: , 8-33283
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| HOGG, ALAN THOMAS | DIRECTOR, EXECUTIVE VICE PRESIDENT | 3019085 |
| MATTHIES, SILAS LANGDON JR | DIRECTOR/EXECUTIVE VICE PRESIDENT/ASSISTANT SECRETARY | 1385815 |
| MCGRORY, MATTHEW W. | DIRECTOR | 4917590 |
| NIEDFELDT, JOAN CAROLE | CHIEF FINANCIAL OFFICER/VICE PRESIDENT | 724703 |
| SCHAEFER, MICHAEL ALLEN | DIRECTOR | 1599656 |
| SHREWSBERRY, JOHN RICHARD | DIRECTOR/CHIEF EXECUTIVE OFFICER/PRESIDENT | 2264673 |
| ZELLMER, JO ANN | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2169167 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 8 |
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.
