Tracy Naioma Williams
Professional Summary
Tracy Naioma Williams, who also goes by Tracy Naioma Stockton, is a registered financial advisor currently at COORDINATED CAPITAL SECURITIES, INC. located in Fort Atkinson, Wisconsin. Tracy is registered as a RR (Registered Representative) and started their career in finance in 2011. Tracy has worked at 2 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tracy Naioma Stockton
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
23 years in the financial services industry
Current & Past Employments
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Current Firm
CCS OF WI | COORDINATED CAPITAL SECURITIES,INC. | COORDINATED CAPITAL SECURITIES, INC. | COORDINATED CAPITAL SECURITIES OF WISCONSIN, INC. | COORDINATED CAPITAL SECURITIES OF WI INC. | COORDINATED CAPITAL ADVISORY, A DIVISION OF COORDINATED CAPITAL SECURITIES, INC. | COLTRANE SECURITIES, A DIVISION OF COORDINATED CAPITAL SECURITI
Contact Information
Main Address
229 S Main Street, Fort Atkinson, WI 53538Mailing Address
229 S Main Street, Fort Atkinson, WI 53538Phone Number
(608) 221-4545Established
Wisconsin since 11/29/1982Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
31SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
186AUM (Assets Under Management)
$136,837,741Disclosures
Regulatory Event
4Arbitration
1Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/18/2026 | Cover Page | Report |
| 10/01/2025 | Cover Page | Report |
| 12/18/2024 | Cover Page | Report |
| 10/18/2023 | Cover Page | Report |
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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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Primary Firm SEC Registration
CCS OF WI | COORDINATED CAPITAL SECURITIES,INC. | COORDINATED CAPITAL SECURITIES, INC. | COORDINATED CAPITAL SECURITIES OF WISCONSIN, INC. | COORDINATED CAPITAL SECURITIES OF WI INC. | COORDINATED CAPITAL ADVISORY, A DIVISION OF COORDINATED CAPITAL SECURITIES, INC. | COLTRANE SECURITIES, A DIVISION OF COORDINATED CAPITAL SECURITI
State Registrations and Notice Filings
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.
Series 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Dec 2002About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Tracy Naioma Williams's CRS (Customer Relationship Summary).
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