TT
Tracy L. Theemes
RAYMOND JAMES (USA) LTD.
Vancouver, BC, V6R 2G4
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CRD#: 4186127
TT
Professional summary
Tracy Lynn Theemes is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Tracy has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. Tracy Theemes IS LOCATED AT 3762 10th Avenue West, Vancouver BC, V6R 2G4 Canada AND HAS BEEN EMPLOYED SINCE January 19, 2009. SHE IS A FULL TIME AGENT AND HER TITLE WITH RJL IS "Investment ADVISOR". SHE DEVOTES 160 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HER JOB DUTIES INCLUDE SALES. 2. RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. Tracy Theemes IS LOCATED AT 3762 10th Avenue West, Vancouver BC, V6R 2G4 Canada AND HAS BEEN LICENSED WITH RJFP SINCE January 2009. SHE IS A FULL-TIME AGENT. SHE DEVOTES 1 hour A MONTH TO THIS BUSINESS. HER JOB DUTIES INCLUDE LIFE INSURANCE SALES. 3. www.sophiawealthacademy.com is investment-related and is located at 3762 10th Avenue West, Vancouver BC, V6R 2G4 Canada. The business is an online education platform and I oversee education offerings.The start date of the business was February 2, 2013. I devote 1 hour a month to this other business during business and trading hours. 4. www.tracytheemes.com is investment-related and is located at 3762 10th Avenue West, Vancouver BC, V6R 2G4 Canada. The business is an online digital platform providing financial education and information and I oversee the website and its content.The start date of the business was February 6, 2014. I devote 1 hour a month to this other business during business and trading hours. 5. BC CPA Association is not investment-related and is located at 800-555 West Hastings Street, Vancouver BC, Canada. I am a speaker for educational classes and a workshop facilitator, and I present financial education.The start date of the business was July 20, 2017. I devote 1 hour a month to this other business during business and trading hours. 6. The Financially Empowered Woman is a book I wrote is not investment-related. I am the author of this book.The start date of the business was April 30, 2013. I previously wrote this book so I no longer devote time to this other business during business and trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lynn Theemes'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
July 20, 2022 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 3762 10th Avenue West, Vancouver, Bc, V6R 2G4RIA
BD
CRD#: 25853
Vancouver, BC,
Past
December 15, 2000 - September 19, 2005
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
OLYMPIA, WA
Past
June 15, 2000 - September 19, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver 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.Highlighted states indicate IAR registrations
IAR
California(7/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
