PT
Pamela A. Tracey
KESTRA ADVISORY SERVICES
Linwood, NJ 08221
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CRD#: 4268520
PT
Professional summary
Pamela Ann Tracey is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Linwood, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Linwood, New Jersey.
Pamela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Pamela has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 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.
Business Name: Tracey & Tracey Certified Public Accountants Investment Related: No Address: 327 Central Avenue, Suite 101 Linwood NJ 08221 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: President, Owner Start Date: 1/1/2015 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Oversee tax & accounting operations, meet with clients, prepare/review tax returns, train staff Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, STE 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Investment Adviser Start Date: 12/2/2019 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Selling products offered through Kestra AS to my clients Business Name: Tracey Wealth Management Company Investment Related: Yes Address: 327 Central Avenue, Suite 101 Linwood NJ 08221 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing member, Owner Start Date: 4/16/2011 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Oversee operations, financial advisory services with Kestra Investment Services, LLC and Kestra Advisory Services, LLC Business Name: James Fudge & Salt Water Taffy Company, Inc Investment Related: No Address: 14 JFK Boulevard Sea Isle City NJ 08243 Nature of Business: Other Other/None of the Above Retail Position, Title or Relationship: Treasurer Start Date: 1/1/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I mostly assist with the books and finances. If needed I assist with running day to day operations. This is a seasonal business
CRS (Client Relationship Summary) - RIA
Click below to view Pamela Ann Tracey'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 4, 2019 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 327 Central Avenue Suite 101, Linwood, NJ 08221RIA
CRD#: 283330
Linwood, NJ
Current
December 2, 2019 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 327 Central Avenue Suite 101, Linwood, NJ 08221BD
CRD#: 42046
Linwood, NJ
Past
June 20, 2011 - December 12, 2019
SAXONY CAPITAL MANAGEMENT, LLC
RIA
CRD#: 122692
LINWOOD, NJ
Past
June 17, 2011 - December 12, 2019
SAXONY SECURITIES, INC.
BD
CRD#: 115547
LINWOOD, NJ
Past
June 21, 2010 - June 21, 2011
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
LINWOOD, NJ
Past
October 24, 2005 - June 21, 2011
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
LINWOOD, NJ
Past
October 26, 2000 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
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
Florida(12/2/2019)
RR
Massachusetts(12/2/2019)
RR
New Jersey(12/2/2019)
IAR
New Jersey(12/4/2019)
RR
Pennsylvania(12/2/2019)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Linwood, NJ 08221TRUST BUT VERIFY
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