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TU

Tracy S. Unger

LARRAINVIAL SECURITIES US
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2689632
TU
Tracy Susan UngerLARRAINVIAL SECURITIES US

Professional summary

Tracy Susan Unger, who also goes by Tracy S Unger, is a registered financial professional currently at LARRAINVIAL SECURITIES US LLC located in New York, New York.

Tracy is registered as a RR (Registered Representative) and started their career in finance in 1995. Tracy has worked at 11 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.

Aliases

Tracy S Unger

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) - BD

Click below to view Tracy Susan Unger'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®
None

Experience

Current

July 8, 2026 - Present

LARRAINVIAL SECURITIES US LLC

Office #1: 400 Madison Avenue Suite 5c, New York, NY 10017
BD
CRD#: 152424
NEW YORK, NY
Past

June 10, 2025 - July 1, 2026

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

January 16, 2024 - April 30, 2024

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

BD
CRD#: 8494
ST. PETERSBURG, FL
Past

May 31, 2023 - November 28, 2023

MCG SECURITIES LLC

BD
CRD#: 163144
WAYNE, PA
Past

October 8, 2012 - June 9, 2023

MORNINGSTAR INVESTMENT SERVICES LLC

RIA
CRD#: 112525
CHICAGO, IL
Past

October 8, 2012 - June 9, 2023

MORNINGSTAR INVESTMENT SERVICES LLC

BD
CRD#: 112525
CHICAGO, IL
Past

April 4, 2011 - August 21, 2012

ADVISORS ASSET MANAGEMENT, INC.

RIA
CRD#: 46727
NASHVILLE, TN
Past

April 4, 2011 - August 21, 2012

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

November 30, 2009 - January 4, 2011

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
MEMPHIS, TN
Past

September 10, 2007 - November 25, 2009

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
MEMPHIS, TN
Past

August 15, 2006 - January 4, 2011

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, NJ
Past

January 2, 2002 - April 26, 2006

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
PORTLAND, ME
Past

January 1, 1999 - January 2, 2002

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

December 12, 1995 - March 29, 1999

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA

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
(7/8/2026)
RR
Arkansas
(7/8/2026)
RR
Florida
(7/8/2026)
RR
Georgia
(7/8/2026)
RR
Indiana
(7/8/2026)
RR
Kansas
(7/8/2026)
RR
Kentucky
(7/8/2026)
RR
Louisiana
(7/8/2026)
RR
Mississippi
(7/8/2026)
RR
Missouri
(7/8/2026)
RR
New York
(7/8/2026)
RR
North Carolina
(7/8/2026)
RR
Ohio
(7/9/2026)
RR
Oklahoma
(7/8/2026)
RR
South Carolina
(7/8/2026)
RR
Tennessee
(7/8/2026)
RR
Texas
(7/8/2026)
RR
Virginia
(7/8/2026)
RR
West Virginia
(7/8/2026)
RR
Wyoming
(7/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/7/2007
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/31/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/3/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/11/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LARRAINVIAL SECURITIES US LLC
LARRAINVIAL SECURITIES US LLC

CRD#: 152424 / SEC#: , 8-68452

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Loading...

Contact information

Main Address
El Bosque Norte 0177, Las Condes Santiago 7550100
Mailing Address
400 Madison Avenue Suite 5c, New York, NY 10017
Phone number
562 2339-8562
Established
Delaware since 11/02/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
LARRAIN VIAL SPAMANAGING MEMBER
CHIN, PHYLLIS NYUK FAHFINOP6250921
LARRAIN, CLAUDIO PATRICIOCEO5742665
MATTIELLI, LOUIS DOMENICCHIEF COMPLIANCE OFFICER1074096
VEGA, SEBASTIAN P.CO-CCO7567081

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

LARRAINVIAL SECURITIES US LLC

CRD#: 152424New York, NY 10017

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