TE
Traci C. Eisner
KESTRA ADVISORY SERVICES
Wheaton, IL
Some features on this profile are disabled
CRD#: 4081192
TE
Professional summary
Traci C Eisner, who also goes by Traci C Sharon, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Wheaton, Illinois and KESTRA INVESTMENT SERVICES, LLC located in Wheaton, Illinois.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Traci has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Traci C Sharon
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.
Name: The Bensman Group Investment Related: Yes Address: 2333 Waukegan Road, Suite 270 Bannockburn IL 60015 Nature of Business: Consulting; Insurance; Investment Advisory (RIA, IAR, Financial Planning, etc.) Position, Title or Relationship: Case Design Manager Start Date: 2/5/2007 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Design insurance plans, presentations Name: Charles Cassidy Group, LLC Investment Related: No Address: P. O. Box 766 Franklinton LA 70438 Nature of Business: Other Other/None of the Above Oil and gas partnership Position, Title or Relationship: limited partner Start Date: 4/1/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: none Name: Pat and Fran Cassidy 6, LLC Investment Related: No Address: 963 Peninsula Drive Prosperity SC 29127 Nature of Business: Other Other/None of the Above The LLC was set up so that my 5 siblings and I could have one entity collecting the proceeds from our small interest in a family oil and gas partnership (previously submitted). These funds are used to pay the property tax on the family home we inherited. Position, Title or Relationship: Partner Start Date: 11/22/2013 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: No duties Name: Stensland Financial Group Ltd AFS Group Limited Investment Related: Yes Address: 2333 Waukegan Road, Suite 275 Bannockburn IL 60015 Nature of Business: Insurance Position, Title or Relationship: Case Design Start Date: 12/17/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Case Design/analysis/forms/paperwork/back office Name: Bensman Wealth Management LLC Investment Related: Yes Address: 2333 Waukegan Road, Suite 275 Bannockburn IL 60015 Nature of Business: Registered Field Assistant; Insurance Position, Title or Relationship: Registered rep assistant Start Date: 12/18/2020 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Providing back office assistance Name: ASSOCIATED AGENCIES INC. POSITION: Case design NATURE: Insurance INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 20 START DATE: 05/10/2022 ADDRESS: 1701 Gold Road, Rolling Meadows IL 60008, United States DESCRIPTION: No obligations. This is a potential arrangement if the company needs additional help. Name: STENSLAND FINANCIAL GROUP LTD POSITION: Case Design NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 135 START DATE: 11/12/2024 ADDRESS: 340 Beechwood Court, Wheaton IL 60089, United States DESCRIPTION: Case Design/analysis/forms/paperwork/backoffice Name: COASTLINE WEALTH MANAGEMENT POSITION: Case Design/Service NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/07/2024 ADDRESS: 340 Beechwood Court, Wheaton IL 60189, United States DESCRIPTION: Back-office support Name; KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 11/04/2024 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR
CRS (Client Relationship Summary) - RIA
Click below to view Traci C Eisner'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
January 5, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Wheaton, IL
Current
February 9, 2007 - Present
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Wheaton, IL
Past
September 27, 2006 - February 12, 2007
J.P. MORGAN SECURITIES INC.
RIA
CRD#: 18718
CHICAGO, IL
Past
July 1, 2006 - February 12, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
CHICAGO, IL
Past
March 30, 2004 - September 27, 2006
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
CHICAGO, IL
Past
March 30, 2004 - July 1, 2006
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
August 20, 2002 - July 31, 2003
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
PORTLAND, OR
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Illinois(2/9/2007)
IAR
Illinois(1/5/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
