Ronald George Tracy
Professional Summary
Ronald George Tracy was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1972 - 2018. Ronald had worked at 11 firms and has passed the Series 63, SIE, Series 5, PC, Series 1 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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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.
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.
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Years of Experience
54 years in the financial services industry
Current & Past Employments
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Current Firm
FOREST SECURITIES,INC.
Contact Information
Established
Iowa since 06/16/1992Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | — |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
Regulatory Event
3Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Oct 1981PC — AMEX Put and Call Exam
Passed May 1977Series 1 — Registered Representative Examination
Passed Jan 1972Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1986Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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