TS
Tracey L. Spikes
BROOKSTONE WEALTH ADVISORS
Greenville, SC
Some features on this profile are disabled
CRD#: 4454515
TS
Professional summary
Tracey Lynn Spikes is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Greenville, South Carolina.
Tracey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Tracey has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
SMART RETIREMENT STRATEGIES, LLC.; INVESTMENT RELATED; 722 MIAMI HEIGHTS CT, LOVELAND, OH 45140; INSURANCE AND INVESTMENT ADVISORY; OWNER; STARTED 10/2018; 150 HOURS/MONTH DEVOTED; ALL HOURS DEVOTED DURING SECURITIES TRADING HOURS; OFFERS INSURANCE PRODUCTS AND SERVICES TO CLIENTS. SMART ADVISOR NETWORK; INVESTMENT RELATED; 710 CHAUVET DR, PITTSBURGH PA 15275; INSURANCE; OFFICER/DIRECTOR; STARTED 08/2019; 60 HOURS/MONTH DEVOTED; 60 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; OFFERS TRAINING AND EDUCATIONAL MATERIAL TO OTHER INSURANCE AGENTS (GET SPLIT COMMISSIONS AND TRAILS ON PRODUCTS THOSE AGENTS SELL).. INSURANCE AGENT: INVESTMENT RELATED, DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. GREENVILLE, SC. IRONWOOD BUILDERS: START DATE: 7/2021, NON-INVESTMENT RELATED, DUTIES INCLUDE: GENERAL CONTRACTOR, CONSTRUCTION REMODELING AND REPAIRS, TITLE: PARTNER, 10 HOURS DEVOTED DURING BUSINESS HOURS PER MONTH. 0 HOURS DEVOTED DURING SECURITIES TRADING HOURS. GREENVILLE, SC 29609
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Lynn Spikes'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
February 21, 2024 - Present
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Greenville, SC
Past
June 28, 2022 - October 17, 2023
SEQUENT PLANNING, LLC
RIA
CRD#: 160381
Greenville, SC
Past
May 28, 2019 - February 15, 2022
BROOKSTONE WEALTH ADVISORS, LLC
RIA
CRD#: 137658
Greenville, SC
Past
September 30, 2004 - October 15, 2018
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
Cincinnati, OH
Past
August 13, 2003 - July 30, 2004
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
October 16, 2001 - July 30, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
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".
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 Approved)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.Highlighted states indicate IAR registrations
IAR
South Carolina(2/21/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1745 S Naperville Rd Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
244
SEC notice filing (52 States and Territories)
Documents
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.
