Tracie M. Hatt
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.
Tracie Michelle Hatt, who also goes by Tracie Michelle Whitworth, Tracie Whitworth, was a registered financial professional .
Tracie is a previously registered financial professional and started their career in finance in 2002. Tracie had worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 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
September 11, 2024 - December 17, 2024
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
January 5, 2023 - September 10, 2024
PEOPLE'S UNITED ADVISORS, INC.
July 10, 2020 - December 31, 2022
PEOPLE'S UNITED ADVISORS, INC.
September 19, 2016 - March 31, 2020
PEOPLE'S SECURITIES, INC.
June 12, 2002 - September 8, 2022
PEOPLE'S SECURITIES, INC.
Primary Firm SEC Registration
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
CRD#: 106909 / SEC#: 801-50883
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WILMINGTON TRUST INVESTMENT ADVISORS, INC.
CRD#: 106909 / SEC#: 801-50883
Contact information
SEC notice filing (16 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,540 |
| AUM (Assets Under Management) | $ 17,432,390,316 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/28/2024 | ||
| 09/08/2023 | ||
| 10/21/2022 |
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.
