Tracy L. Hansen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tracy L Hansen, who also goes by Tracy Lynn Hansen, Tracy Hansen, Tracy L Johnson, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 2000. Tracy had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2008 - June 21, 2017
TD AMERITRADE, INC.
April 28, 2008 - June 21, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 21, 2008 - June 21, 2017
TD AMERITRADE, INC.
October 3, 2000 - February 1, 2002
IDS LIFE INSURANCE COMPANY
October 3, 2000 - February 1, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
