Tracy Braswell
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 Braswell, who also goes by Tracy Jordan Braswell, Tracy Marie Jordan, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 1998. Tracy had worked at 7 firms and has passed the Series 66, Series 22TO, Series 79TO, Series 6TO, Series 82TO, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 6, Series 14, Series 39, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2019 - February 18, 2021
WELLS FARGO SECURITIES, LLC
April 9, 2018 - August 23, 2019
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 22, 2016 - August 23, 2019
ALLSPRING FUNDS MANAGEMENT, LLC
November 17, 2015 - August 23, 2019
ALLSPRING FUNDS DISTRIBUTOR, LLC
July 7, 2010 - April 30, 2013
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
September 9, 2008 - February 25, 2015
STRUCTURED ASSET INVESTORS, LLC
March 14, 2007 - November 16, 2015
WELLS FARGO SECURITIES, LLC
February 19, 1998 - June 13, 2000
TRANSAMERICA SECURITIES SALES CORPORATION
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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
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.
