Tracy A. Poole

FAOC

Largo, FL 33730

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CRD#: 2681620

Professional summary

Tracy Allen Poole, who also goes by T Cook, Tracy Allen Cook, Tracy Cook, is a registered financial advisor currently at FAOC, LLC located in Largo, Florida.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Tracy has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

T Cook | Tracy Allen Cook | Tracy Cook

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Allen Poole's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

FAOC, LLC

Office #1: 801 West Bay Drive, Largo, FL 33730

RIA

CRD#: 318158

Largo, FL

Past

June 1, 2008 - June 30, 2023

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

Abingdon, VA

Past

June 1, 2008 - June 30, 2023

OSAIC INSTITUTIONS, INC.

CRD#: 35371

Abingdon, VA

Past

January 3, 2008 - June 1, 2008

BI INVESTMENTS, LLC

RIA

CRD#: 125437

JOHNSON CITY, TN

Past

October 30, 2007 - December 31, 2007

BI INVESTMENTS, LLC

RIA

CRD#: 125437

JOHNSON CITY, TN

Past

January 21, 2005 - June 1, 2008

BI INVESTMENTS, LLC

CRD#: 125437

JOHNSON CITY, TN

Past

January 10, 2005 - July 22, 2007

BI INVESTMENTS, LLC

RIA

CRD#: 125437

JOHNSON CITY, TN

Past

October 2, 2002 - August 4, 2003

AMSOUTH INVESTMENT SERVICES, INC.

CRD#: 15692

BIRMINGHAM, AL

Past

April 30, 2001 - October 2, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

April 20, 1999 - April 23, 2001

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

June 3, 1998 - March 25, 1999

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 12, 1997 - March 10, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

April 24, 1997 - November 21, 1997

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

November 27, 1995 - July 23, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

November 27, 1995 - July 23, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/3/2023)

IAR

Indiana
(9/5/2023)

IAR

Iowa
(8/31/2023)

IAR

Louisiana
(7/5/2023)

IAR

Michigan
(6/30/2023)

IAR

Nebraska
(1/3/2025)

IAR

Nevada
(8/9/2023)

IAR

New York
(9/15/2023)

IAR

North Carolina
(6/29/2023)

IAR

Ohio
(6/29/2023)

IAR

Oregon
(6/29/2023)

IAR

Pennsylvania
(1/2/2025)

IAR

South Carolina
(9/23/2023)

IAR

Tennessee
(7/21/2023)

IAR

Texas
(1/3/2025)

IAR

Wisconsin
(1/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/29/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1995

General Securities Representative Examination

Current Firm

FAOC, LLC

FAOC, LLC | FINANCIAL ADVISOR ON CALL

CRD#: 318158 / SEC#: 801-129032

Florida

Registered Investment Advisory firm - (8/8/2022 Approved)

Georgia

Registered Investment Advisory firm - (7/3/2023 Approved)

Indiana

Registered Investment Advisory firm - (9/5/2023 Approved)

Iowa

Registered Investment Advisory firm - (8/7/2023 Approved)

Louisiana

Registered Investment Advisory firm - (2/27/2023 Approved)

Michigan

Registered Investment Advisory firm - (3/10/2023 Approved)

Nebraska

Registered Investment Advisory firm - (8/24/2023 Approved)

Nevada

Registered Investment Advisory firm - (4/20/2023 Approved)

New York

Registered Investment Advisory firm - (9/15/2023 Approved)

North Carolina

Registered Investment Advisory firm - (2/22/2023 Approved)

Ohio

Registered Investment Advisory firm - (2/21/2023 Approved)

Oregon

Registered Investment Advisory firm - (4/21/2023 Approved)

Pennsylvania

Registered Investment Advisory firm - (9/11/2023 Approved)

South Carolina

Registered Investment Advisory firm - (9/23/2023 Approved)

Tennessee

Registered Investment Advisory firm - (7/5/2023 Approved)

Texas

Registered Investment Advisory firm - (1/5/2024 Approved)

Wisconsin

Registered Investment Advisory firm - (8/22/2023 Approved)

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Contact information

Main Address

801 West Bay Drive Suite 603, Largo, FL 33770

Mailing Address

Phone number

(629) 333-3262

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

Tracy A. Poole

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Allen Poole's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

BI INVESTMENTS, LLC

BI INVESTMENTS, LLC

BI INVESTMENTS, LLC

BI INVESTMENTS, LLC

AMSOUTH INVESTMENT SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIRST HORIZON ADVISORS, INC.

BANC ONE SECURITIES CORPORATION

FSC SECURITIES CORPORATION

WELLS FARGO BROKERAGE SERVICES, L.L.C.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/29/2003

Series 63

Date: 12/15/1995

SIE

Date: 10/1/2018

Series 7

Date: 11/24/1995

Current Firm

FAOC, LLC

Contact information

Documents

Red Flags

Company Information

FAOC, LLC

TRUST BUT VERIFY

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