LT
Lauren R. Tracy
PIMCO INVESTMENTS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 4027974
LT
Professional summary
Lauren Rita Tracy, who also goes by Lauren Rita Walsh, Lauren Walsh, is a registered financial professional currently at PIMCO INVESTMENTS LLC located in New York, New York.
Lauren is registered as a RR (Registered Representative) and started their career in finance in 2008. Lauren has worked at 2 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Lauren Rita Walsh | Lauren Walsh
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.
CRS (Client Relationship Summary) - BD
Click below to view Lauren Rita Tracy'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®
NoneExperience
Current
February 14, 2011 - Present
PIMCO INVESTMENTS LLC
Office #1: 1633 Broadway 45th Floor, New York, NY 10019BD
CRD#: 154957
New York, NY
Past
July 2, 2008 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
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(3/5/2018)
RR
Alaska(3/5/2018)
RR
Arizona(3/5/2018)
RR
Arkansas(3/5/2018)
RR
California(2/14/2011)
RR
Colorado(3/5/2018)
RR
Connecticut(2/14/2011)
RR
Delaware(2/14/2011)
RR
District of Columbia(2/14/2011)
RR
Florida(3/5/2018)
RR
Georgia(10/6/2015)
RR
Hawaii(3/5/2018)
RR
Idaho(3/5/2018)
RR
Illinois(3/5/2018)
RR
Indiana(2/14/2011)
RR
Iowa(3/5/2018)
RR
Kansas(3/5/2018)
RR
Kentucky(3/5/2018)
RR
Louisiana(3/5/2018)
RR
Maine(3/5/2018)
RR
Maryland(2/14/2011)
RR
Massachusetts(2/14/2011)
RR
Michigan(3/5/2018)
RR
Minnesota(3/5/2018)
RR
Mississippi(3/5/2018)
RR
Missouri(3/5/2018)
RR
Montana(3/5/2018)
RR
Nebraska(3/5/2018)
RR
Nevada(3/5/2018)
RR
New Hampshire(3/5/2018)
RR
New Jersey(2/14/2011)
RR
New Mexico(3/5/2018)
RR
New York(2/14/2011)
RR
North Carolina(10/7/2015)
RR
North Dakota(3/5/2018)
RR
Ohio(2/14/2011)
RR
Oklahoma(3/5/2018)
RR
Oregon(3/5/2018)
RR
Pennsylvania(2/14/2011)
RR
Puerto Rico(1/2/2025)
RR
Rhode Island(3/5/2018)
RR
South Carolina(3/5/2018)
RR
South Dakota(3/5/2018)
RR
Tennessee(3/5/2018)
RR
Texas(3/5/2018)
RR
Utah(3/5/2018)
RR
Vermont(3/5/2018)
RR
Virgin Islands(1/2/2025)
RR
Virginia(2/14/2011)
RR
Washington(3/5/2018)
RR
West Virginia(3/5/2018)
RR
Wisconsin(3/5/2018)
RR
Wyoming(3/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
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.
