Thomas D. Tracy
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.
Thomas Dean Tracy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2009. Thomas had worked at 4 firms and has passed the Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2021 - January 25, 2022
ALL RISE TRADING LLC
September 16, 2014 - November 17, 2020
TJM INVESTMENTS, LLC
December 4, 2013 - August 12, 2014
X-CHANGE FINANCIAL ACCESS, LLC
March 24, 2009 - December 2, 2013
SRT SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
ALL RISE TRADING LLC
CRD#: 295557 / SEC#: , 8-70099
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREEDOM HOLDING GROUP LLC | LLC MEMBER | |
| SKWERES, DENISE PAREJKO | CHIEF COMPLIANCE OFFICER/FINOP/REGISTERED OPTIONS PRINCIPAL | 5332253 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
