Paul (. Tracey
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.
Paul (nmn) Tracey, who also goes by Paul Tracey, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1999. Paul had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2010 - August 27, 2012
VOLT WEALTH MANAGEMENT, LLC
March 22, 2006 - March 19, 2013
HORAN CAPITAL MANAGEMENT,LLC
September 7, 2004 - March 1, 2006
CHURCHILL MANAGEMENT GROUP
June 8, 1999 - May 10, 2001
TD AMERITRADE, 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
Exams
Current Firm
VOLT WEALTH MANAGEMENT, LLC
CRD#: 152837 / SEC#: 801-71052
Contact information
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.
