James L. Tracey
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.
James Leroy Tracey was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 9 firms and has passed the Series 63, Series 1, Series 27 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
December 1, 2000 - December 21, 2009
ABACUS INVESTMENTS, INC.
January 29, 1993 - February 2, 2001
NI SECURITIES CORP.
June 21, 1989 - March 8, 1993
ACS SECURITIES CORP.
July 2, 1985 - June 19, 1989
DRAKE & COMPANY INVESTMENT SERVICES, INC.
June 9, 1982 - June 20, 1985
FRANCIS MANZO & COMPANY, INCORPORATED
January 13, 1976 - May 14, 1982
MARQUETTE FINANCIAL GROUP, INC.
March 2, 1973 - April 5, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
March 2, 1973 - April 5, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
March 2, 1973 - April 5, 1976
IDS LIFE INSURANCE COMPANY
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
Series 1
Date: 2/26/1973
Registered Representative ExaminationCurrent Firm
ABACUS INVESTMENTS, INC.
CRD#: 35127 / SEC#: , 8-46571
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC. | OWNER | |
| HOHENSEE, FREDERICK EARL | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1431948 |
Red Flags
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