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TP

Tracy A. Poole

Some features on this profile are disabled
CRD#: 2681620
TP

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 Allen Poole, who also goes by T Cook, Tracy Allen Cook, Tracy Cook, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1995. Tracy had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2023 - December 31, 2025

FAOC, LLC

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.

BD
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

BD
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.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

April 30, 2001 - October 2, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

April 20, 1999 - April 23, 2001

FIRST HORIZON ADVISORS, INC.

BD
CRD#: 17117
MEMPHIS, TN
Past

June 3, 1998 - March 25, 1999

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

December 12, 1997 - March 10, 1998

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

April 24, 1997 - November 21, 1997

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

November 27, 1995 - July 23, 1996

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 27, 1995 - July 23, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/29/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/24/1995
General Securities Representative Examination

Current Firm

FL
FAOC, LLC
FAOC, LLC | FINANCIAL ADVISOR ON CALL

CRD#: 318158 / SEC#: 801-129032

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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
1

Documents

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.

Company Information

FAOC, LLC

CRD#: 318158

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