TF
Tracy S. Frazier
MGI FUNDS DISTRIBUTORS
McMurray, PA
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CRD#: 2657908
TF
Professional summary
Tracy Sobehart Frazier, who also goes by Tracy Sobehart Frazier, Tracy Lynn Gracan, Tracy Lynn Sobehart, Tracy Lynn Sobehart, is a registered financial professional currently at MGI FUNDS DISTRIBUTORS, LLC located in Mcmurray, Pennsylvania.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 2000. Tracy has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tracy Sobehart Frazier | Tracy Lynn Gracan | Tracy Lynn Sobehart | Tracy Lynn Sobehart
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.
PRINCIPAL BANK AND TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 121 Evans Drive, McMurray PA 15317, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
CRS (Client Relationship Summary) - BD
Click below to view Tracy Sobehart Frazier'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
March 6, 2023 - Present
MGI FUNDS DISTRIBUTORS, LLC
Office #2: One Towne Square, Suite 1100, Southfield, MI 48076Office #3: 1050 Connecticut Avenue Nw Suite 700, Washington, DC 20036Office #4: 6 Ppg Place Suite 400, Pittsburgh, PA 15222BD
CRD#: 35682
McMurray, PA
Past
February 28, 2006 - January 4, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CANONSBURG, PA
Past
January 12, 2006 - January 4, 2023
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
August 1, 2003 - January 4, 2006
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 17, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
June 25, 2001 - December 6, 2001
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
March 14, 2000 - March 20, 2001
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
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(1/2/2024)
RR
Alaska(1/2/2024)
RR
Arizona(1/2/2024)
RR
Arkansas(1/2/2024)
RR
California(1/2/2024)
RR
Colorado(1/2/2024)
RR
Connecticut(1/2/2024)
RR
Delaware(1/2/2024)
RR
District of Columbia(1/2/2024)
RR
Florida(1/2/2024)
RR
Georgia(1/2/2024)
RR
Hawaii(1/2/2024)
RR
Idaho(1/2/2024)
RR
Illinois(1/2/2024)
RR
Indiana(1/2/2024)
RR
Iowa(1/2/2024)
RR
Kansas(1/2/2024)
RR
Kentucky(1/2/2024)
RR
Louisiana(1/2/2024)
RR
Maine(1/2/2024)
RR
Maryland(1/2/2024)
RR
Massachusetts(1/2/2024)
RR
Michigan(1/2/2024)
RR
Minnesota(1/2/2024)
RR
Mississippi(1/2/2024)
RR
Missouri(1/2/2024)
RR
Montana(1/2/2024)
RR
Nebraska(1/2/2024)
RR
Nevada(1/2/2024)
RR
New Hampshire(1/2/2024)
RR
New Jersey(1/2/2024)
RR
New Mexico(1/2/2024)
RR
New York(1/2/2024)
RR
North Carolina(1/2/2024)
RR
North Dakota(1/2/2024)
RR
Ohio(1/2/2024)
RR
Oklahoma(1/2/2024)
RR
Oregon(1/2/2024)
RR
Pennsylvania(3/6/2023)
RR
Puerto Rico(1/2/2024)
RR
Rhode Island(1/2/2024)
RR
South Carolina(1/2/2024)
RR
South Dakota(1/2/2024)
RR
Tennessee(1/2/2024)
RR
Texas(1/2/2024)
RR
Utah(1/2/2024)
RR
Vermont(1/2/2024)
RR
Virgin Islands(1/2/2024)
RR
Virginia(1/2/2024)
RR
Washington(1/2/2024)
RR
West Virginia(1/2/2024)
RR
Wisconsin(1/2/2024)
RR
Wyoming(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MGI FUNDS DISTRIBUTORS, LLC
MGI FUNDS DISTRIBUTORS, INC. | OFFIT FUNDS DISTRIBUTOR, INC. | MGI FUNDS DISTRIBUTORS, LLC
CRD#: 35682 / SEC#: , 8-46960
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 01/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
