Tracy A. Gaertner
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 Gaertner, who also goes by Tracey Ann Gaertner, Tracy Ann Weigand, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 2006. Tracy had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2017 - August 6, 2025
PENSIONMARK SECURITIES, LLC
September 24, 2015 - September 1, 2017
CAPFINANCIAL SECURITIES, LLC.
July 9, 2014 - September 25, 2015
LPL FINANCIAL LLC
October 30, 2008 - July 2, 2014
KESTRA INVESTMENT SERVICES, LLC
August 16, 2006 - December 21, 2007
FEDERATED SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PENSIONMARK SECURITIES, LLC
CRD#: 283952 / SEC#: , 8-69773
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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