Tracy S. Unger
Professional summary
Tracy Susan Unger, who also goes by Tracy S Unger, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Portland, Maine.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1995. Tracy has worked at 10 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy Susan Unger's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 190 Middle Street Suite 301, Portland, ME 04101January 16, 2024 - April 30, 2024
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
May 31, 2023 - November 28, 2023
MCG SECURITIES LLC
October 8, 2012 - June 9, 2023
MORNINGSTAR INVESTMENT SERVICES LLC
October 8, 2012 - June 9, 2023
MORNINGSTAR INVESTMENT SERVICES LLC
April 4, 2011 - August 21, 2012
ADVISORS ASSET MANAGEMENT, INC.
April 4, 2011 - August 21, 2012
ADVISORS ASSET MANAGEMENT, INC.
November 30, 2009 - January 4, 2011
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 10, 2007 - November 25, 2009
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
August 15, 2006 - January 4, 2011
NYLIFE DISTRIBUTORS LLC
January 2, 2002 - April 26, 2006
STERLING CAPITAL DISTRIBUTORS, LLC
January 1, 1999 - January 2, 2002
FORESIDE FUNDS DISTRIBUTORS LLC
December 12, 1995 - March 29, 1999
PRINCIPAL SECURITIES, 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
(6/10/2025)
(6/10/2025)
(6/10/2025)
(6/10/2025)
(6/10/2025)
(6/10/2025)
(6/11/2025)
(6/10/2025)
(6/10/2025)
Exams
Series 6TO
Date: 5/31/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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Company Information
FORESIDE FUND SERVICES, LLC
CRD#: 46106Portland, ME 04101TRUST BUT VERIFY
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