JT
James F. Tracz
&PARTNERS
WILLOUGHBY HILLS, OH 44094
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CRD#: 4269149
JT
James Frank Tracz JR&PARTNERS
Professional summary
James Frank Tracz JR, who also goes by James Frank Tracz, Jim Tracz, James Tracz, is a registered financial advisor currently at &PARTNERS located in Willoughby Hills, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Aliases
James Frank Tracz | Jim Tracz | James Tracz
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. Fixed insurance sales; as of 02/02/2022; 2% of time spent during business hours; Conducted at branch location; Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view James Frank Tracz JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Frank Tracz JR'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
September 8, 2026 - Present
&PARTNERS
Office #1: 2786 S.o.m. Center Road Suite 200, Willoughby Hills, OH 44094RIA
BD
CRD#: 3767
WILLOUGHBY HILLS, OH
Current
September 8, 2026 - Present
&PARTNERS
Office #1: 2786 S.o.m. Center Road Suite 200, Willoughby Hills, OH 44094RIA
BD
CRD#: 3767
WILLOUGHBY HILLS, OH
Past
April 6, 2022 - January 1, 2023
FINANCIAL PLANNING RESOURCES, INC.
RIA
CRD#: 106250
WILLOUGHBY HILLS, OH
Past
December 6, 2021 - September 16, 2026
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
WILLOUGHBY HILLS, OH
Past
December 3, 2021 - September 16, 2026
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WILLOUGHBY HILLS, OH
Past
November 21, 2018 - December 14, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Pepper Pike, OH
Past
November 21, 2018 - December 14, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Pepper Pike, OH
Past
January 16, 2003 - December 10, 2018
WADDELL & REED
RIA
CRD#: 866
ERIE, PA
Past
January 15, 2003 - December 10, 2018
WADDELL & REED
BD
CRD#: 866
ERIE, PA
Past
March 19, 2001 - January 2, 2003
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
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".
&PARTNERS
&PARTNERS | ZINN WEALTH MANAGEMENT | ZAMBROSKI-POLSON WEALTH ADVISORS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WEST FINANCIAL GROUP | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TUCKAWAY CAPITAL &PARTNERS | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THOMPSON WEALTH MANAGEMENT | THIRD COAST WEALTH PLANNING | THE NORTHSHORE GROUP | THE KERRIGAN GROUP | THE JORDANICH GROUP | THE JOHNSON-STRNADEL GROUP | THE DONOHUE GROUP | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | TEAGLE WEALTH | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SJ MARTIN WEALTH MANAGEMENT | SHICK WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PARSONS FINANCIAL | PARADYM WEALTH MANAGEMENT | PALMETTO FINANCIAL ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NORTH LAKE WEALTH ADVISORS | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN WEALTH MANAGEMENT | MARTIN WRIGHT GROUP | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | MANNEN FINANCIAL GROUP | M.T. WALDRON ADVISORS | M. BENNETT FINANCIAL GROUP | LUMITAS WEALTH STRATEGIES | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LIGHTFOOT FINANCIAL GROUP | LANG INVESTMENT GROUP | KLEINSCHUSTER WEALTH MANAGEMENT | JW WEALTH MANAGEMENT | JOHNSTON WEALTH MANAGEMENT | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HEARTWOOD FINANCIAL GROUP | HARVEST POINT WEALTH ADVISORS | HAMPTON LANHAM GROUP | GUIDENT WEALTH MANAGEMENT | GOLD KEY PRIVATE WEALTH | GERARDI WEALTH MANAGEMENT | GELLER PRIVATE WEALTH | FOUR CORNERS WEALTH | FORGE POINT ADVISORS | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DRH WEALTH MANAGEMENT | DELUCA FINANCIAL STRATEGIES | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | CRAIGER WEALTH MANAGEMENT | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | COMPTON WEALTH | CIRCLEPOINT FINANCIAL | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CAPONE &PARTNERS | CANYON RIVER WEALTH PLANNING | BROADCLOTH WEALTH | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARROWOOD CAPITAL | ARROWHEAD PRIVATE WEALTH | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | ALETHEIA CAPITAL GROUP | ALDERSTONE WEALTH MANAGEMENT | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 26EAST PRIVATE WEALTH | 1854 CAPITAL MANAGEMENT | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans 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
Arizona(9/18/2026)
RR
Arkansas(9/18/2026)
RR
Florida(9/8/2026)
RR
Indiana(9/8/2026)
RR
North Carolina(9/15/2026)
RR
Ohio(9/8/2026)
IAR
Ohio(9/8/2026)
RR
South Carolina(9/8/2026)
RR
South Dakota(9/8/2026)
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6
Passed: 3/16/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
&PARTNERS
&PARTNERS | ZINN WEALTH MANAGEMENT | ZAMBROSKI-POLSON WEALTH ADVISORS | WISEPATH WEALTH MANAGEMENT | WISE & PARTNERS | WILTON SPRINGS FINANCIAL | WILTON SPRINGS | WILLOWSTONE WEALTH MANAGEMENT | WILEY BROS.-AINTREE, LLC | WILEY BROS.-AINTREE CAPITAL, LLC | WILEY BROS.-AINTREE CAPITAL | WILEY BROS. INC. | WILEY BROS. - AINTREE CAPITAL | WEST FINANCIAL GROUP | WAVEWOOD PRIVATE WEALTH | VON HELLENS &PARTNERS | VIRIBUS WEALTH MANAGEMENT | UNNERSTALL WEALTH MANAGEMENT | TUCKAWAY CAPITAL &PARTNERS | TRIUNE WEALTH MANAGEMENT | TRILLIUM WEALTH | TRIDENT WEALTH MANAGEMENT GROUP | THOMPSON WEALTH MANAGEMENT | THIRD COAST WEALTH PLANNING | THE NORTHSHORE GROUP | THE KERRIGAN GROUP | THE JORDANICH GROUP | THE JOHNSON-STRNADEL GROUP | THE DONOHUE GROUP | THAMES PRIVATE WEALTH STRATEGIES | TEDERS & QUAKENBUSH WEALTH MANAGEMENT GROUP | TEAGLE WEALTH | SWARTZENTRUBER WEALTH MANAGEMENT | STREAMLINE PRIVATE WEALTH | STILES FINANCIAL | STEELCREST INVESTMENT STRATEGIES | STANFORD WEALTH MANAGEMENT GROUP | STANFORD WEALTH MANAGEMENT | SJ MARTIN WEALTH MANAGEMENT | SHICK WEALTH MANAGEMENT | SCHMIEDBAUER INVESTMENTS &PARTNERS | ROY, TEDESCHI, SCHMIDT PRIVATE WEALTH | ROOKS&PARTNERS | ROOKS &PARTNERS - INVERNESS, FL | RIVERLINE WEALTH | RIAZZI, RHYNE & SWAIM INVESTMENT GROUP | PRAIRIE HERITAGE FINANCIAL | POWER 5 PALESTINE, TX | POWER 5 FINANCIAL | POWER 5 - TYLER TX | POWER 5 - PALESTINE TX | POWER 5 - OLYMPIA, WA | POWER 5 - OLYMPIA WA | PLAIDSKY ADVISORS | PARSONS FINANCIAL | PARADYM WEALTH MANAGEMENT | PALMETTO FINANCIAL ADVISORS | PALM SHORES WEALTH | ONE PRIVATE WEALTH | NORTH LAKE WEALTH ADVISORS | NOBLES GROOMS WEALTH ADVISORS | MERIDIAN WEALTH MANAGEMENT | MARTIN WRIGHT GROUP | MARSTELLER WEALTH / TEAGLE WEALTH/ COMPTON WEALTH / KLEINSCHUSTER WEALTH MANAGEMENT | MARSTELLER WEALTH | MARNE WEALTH MANAGEMENT | MANNEN FINANCIAL GROUP | M.T. WALDRON ADVISORS | M. BENNETT FINANCIAL GROUP | LUMITAS WEALTH STRATEGIES | LODGEVIEW WEALTH ADVISORS | LINKS PRIVATE WEALTH | LIGHTFOOT FINANCIAL GROUP | LANG INVESTMENT GROUP | KLEINSCHUSTER WEALTH MANAGEMENT | JW WEALTH MANAGEMENT | JOHNSTON WEALTH MANAGEMENT | IVY CREST WEALTH MANAGEMENT | INDIGO ADVISORS | HERITAGE LAKE ADVISORS | HELIX PRIVATE WEALTH | HEARTWOOD FINANCIAL GROUP | HARVEST POINT WEALTH ADVISORS | HAMPTON LANHAM GROUP | GUIDENT WEALTH MANAGEMENT | GOLD KEY PRIVATE WEALTH | GERARDI WEALTH MANAGEMENT | GELLER PRIVATE WEALTH | FOUR CORNERS WEALTH | FORGE POINT ADVISORS | FOCUS CAPITAL PARTNERS PRIVATE WEALTH | FOCUS CAPITAL PARTNERS | FIRST SERVANT WEALTH MANAGEMENT | FIRST KEYSTONE WEALTH MANAGEMENT | ENTANDEM WEALTH ADVISORS | ENSEMBLE WEALTH PLANNING | ELEVISION WEALTH MANAGEMENT | ELEIVA FINANCIAL | DRH WEALTH MANAGEMENT | DELUCA FINANCIAL STRATEGIES | DAVIDSON WEALTH MANAGEMENT | CRESTVIEW CAPITAL ADVISORS | CREECH SCHWARTZ WEALTH MANAGEMENT | CREECH SCHWARTZ PRIVATE MANAGEMENT GROUP | CRAIGER WEALTH MANAGEMENT | COTTAGE WEALTH ADVISORS | CORIOLIS WEALTH MANAGEMENT | COMPTON WEALTH | CIRCLEPOINT FINANCIAL | CENTERCOAST PRIVATE WEALTH | CARVE ADVISORS | CAPONE &PARTNERS | CANYON RIVER WEALTH PLANNING | BROADCLOTH WEALTH | BRIO WEALTH SOLUTIONS - BOBBI BOSTICK | BRIO WEALTH SOLUTIONS | BRIDGEWATER PRIVATE WEALTH | BRIDGEMILL PRIVATE WEALTH | BLACKLOCK WEALTH MANAGEMENT | BASE CAPITAL PARTNERS | ARROWOOD CAPITAL | ARROWHEAD PRIVATE WEALTH | ARBOR ROW ADVISORS | ARBOR AVENUE PRIVATE WEALTH | APRICITY ADVISORS | ALETHEIA CAPITAL GROUP | ALDERSTONE WEALTH MANAGEMENT | AGAPE WEALTH STRATEGIES | AERIAL WEALTH ADVISORS | 49 NORTH ADVISORS | 26EAST PRIVATE WEALTH | 1854 CAPITAL MANAGEMENT | 1828 CAPITAL | &PARTNERS OSJ AND MARTIN WRIGHT GROUP
CRD#: 3767 / SEC#: 801-37145, 8-3774
RIA
Registered Investment Advisory firm - SEC (10/25/1990 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Mailing Address
40 Burton Hills Blvd. Suite 350, Nashville, TN 37215
Phone number
(615) 255-6431
Established
Tennessee since 12/07/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
703
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPERSAND PARTNERS, LLC | OWNER | |
| ALEXANDER, JOHN W | CO-PRESIDENT | 2327561 |
| COOPER, CHYRLAN ELIZABETH | COO | 4160240 |
| IDOL, KALEY PORTER | CHIEF COMPLIANCE OFFICER | 6950052 |
| KOWACH, DAVID JOHN | CEO | 2154665 |
| NELSON, RICHARD SCOTT | CFO | 5014790 |
| SCHALLER, MICHAEL CHRISTOPHER | CONTROLLER/FINOP | 5899085 |
| STEVENS, ALYSON MENCIO | CHIEF COMPLIANCE OFFICER - ADVISORY BUSINESS | 5451096 |
| WILEY III, DAVID WARREN III | CO-PRESIDENT | 720094 |
Regulatory assets under management
| Total Number of Accounts | 62,194 |
| AUM (Assets Under Management) | $ 30,268,689,798 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 04/29/2025 | ||
| 12/29/2023 |
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.
