Tracy A. Marshall
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 Ann Marshall, who also goes by Tracy A Granata, Tracy Ann Granata, Tracy Ann Marshall, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1996. Tracy had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2015 - July 4, 2026
CHARLES SCHWAB & CO., INC.
September 14, 2015 - July 4, 2026
CHARLES SCHWAB & CO., INC.
November 1, 2005 - August 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 30, 2003 - August 26, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 27, 2002 - February 20, 2003
SYNERGY INVESTMENT GROUP, LLC
January 13, 2001 - December 20, 2001
DEUTSCHE BANK SECURITIES INC.
July 26, 2000 - January 13, 2001
DB ALEX. BROWN LLC
January 4, 2000 - July 13, 2000
MESIROW FINANCIAL, INC.
October 29, 1997 - January 19, 2000
CREDIT SUISSE SECURITIES (USA) LLC
September 23, 1996 - October 15, 1997
IDS LIFE INSURANCE COMPANY
September 23, 1996 - October 15, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
