TP
Tracey H. Pearson
RBC CAPITAL MARKETS
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 4155635
TP
Professional summary
Tracey Horner Pearson, who also goes by Tracey M Horner, Tracey Michelle Horner N/a, Tracey Michelle Horner, Tracey H Pearson, Tracey Michelle Pearson, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Nashville, Tennessee.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tracey has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracey M Horner | Tracey Michelle Horner N/a | Tracey Michelle Horner | Tracey H Pearson | Tracey Michelle Pearson
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.
(1) NAME OF ENTITY: YWCA of Middle Tennessee; ADDRESS: 1608 Woodmont Blvd Nashville, TN 37215; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Organization is dedicated to eliminating racism, empowering women and promoting peace; CAPACITY: Board of Directors; START DATE: 12/2019; DUTIES: The Board oversees and helps set strategy for the YWCA and provides guidance for YWCA staff to implement strategies; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 1; (2) Name of Entity: Nashville Opera Finance Committee Non-investment related Address of Entity: 3622 Redmon Street Nashville, TN 37209 Nature of OBA: Non profit organization creating Opera for the Nashville community Position/Title/Relationship: Sub-committee of the Opera Start Date: 11/01/23 Time devoted: 1 hour; 0 during securities trading hours Duties: Every other month the committee meets to review Opera balance sheet and achievement of strategic goals. Any changes to finances are discussed and approved in committee, but must receive final approval via Board of Directors vote.
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Horner Pearson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracey Horner Pearson'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
December 16, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 818 18th Ave South Suite 100, Nashville, TN 37203RIA
BD
CRD#: 31194
Nashville, TN
Current
December 16, 2019 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 818 18th Ave South Suite 100, Nashville, TN 37203RIA
BD
CRD#: 31194
Nashville, TN
Past
September 13, 2016 - November 8, 2019
TRUIST ADVISORY SERVICES, INC.
RIA
CRD#: 283390
NASHVILLE, TN
Past
May 6, 2014 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
NASHVILLE, TN
Past
May 6, 2014 - November 8, 2019
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
NASHVILLE, TN
Past
April 16, 2010 - February 28, 2014
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
NASHVILLE, TN
Past
April 7, 2010 - February 28, 2014
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
NASHVILLE, TN
Past
December 14, 2007 - April 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NASHVILLE, TN
Past
November 26, 2007 - April 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NASHVILLE, TN
Past
November 9, 2004 - January 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
GREENWICH, CT
Past
November 8, 2004 - January 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 2, 2002 - June 18, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FRANKLIN, TN
Past
June 21, 2000 - June 18, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
California(8/1/2023)
RR
Colorado(1/10/2024)
RR
Delaware(3/23/2022)
RR
District of Columbia(1/10/2024)
RR
Florida(12/20/2019)
RR
Georgia(1/29/2021)
RR
Illinois(1/19/2024)
RR
Indiana(8/14/2020)
RR
Kansas(10/23/2024)
RR
Kentucky(8/4/2023)
RR
Louisiana(12/17/2019)
RR
Maryland(1/16/2024)
RR
Michigan(1/6/2022)
RR
Missouri(1/10/2024)
RR
Montana(1/16/2024)
RR
Nebraska(1/9/2024)
RR
New York(12/19/2019)
RR
North Carolina(12/17/2019)
RR
Ohio(2/25/2021)
RR
Pennsylvania(6/28/2022)
RR
Tennessee(12/16/2019)
IAR
Tennessee(12/16/2019)
IAR
Texas(1/5/2021)
RR
Texas(1/6/2021)
RR
Virginia(1/10/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
