Eric B. 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.
Eric Brandt Tracy was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2001. Eric had worked at 6 firms and has passed the Series 63, SIE, Series 86, Series 87, 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
May 24, 2017 - March 7, 2019
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
September 22, 2015 - February 6, 2017
BREAN CAPITAL, LLC
January 26, 2012 - July 7, 2015
JANNEY MONTGOMERY SCOTT LLC
October 5, 2009 - November 17, 2011
B. RILEY SECURITIES, INC.
March 24, 2003 - September 23, 2009
SCOTT & STRINGFELLOW, LLC
October 10, 2001 - February 15, 2002
COWEN AND COMPANY
State Registrations and Notice Filings
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Exams
Current Firm
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
CRD#: 13233 / SEC#: , 8-28508
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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