Tracey Jones
Professional Summary
Tracey Jones, who also goes by Tracey Lynne Hartkorn, Tracey Lynne Jones, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Buda, Texas. Tracey is registered as a RR (Registered Representative) and started their career in finance in 2003. Tracey has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tracey Lynne Hartkorn, Tracey Lynne Jones
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
Contact Information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128Phone Number
(858) 207-1300Established
Delaware since 05/05/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
125SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
14,099AUM (Assets Under Management)
$2,019,427,633Disclosures
Regulatory Event
8Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
State Registrations and Notice Filings
(7/31/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tracey Jones's CRS (Customer Relationship Summary).
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