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TB

Tracey J. Breaux

ERNST & YOUNG INVESTMENT ADVISERS LLP
New Orleans, LA 70139
Some features on this profile are disabled
CRD#: 4566591
TB

Professional summary

Tracey J Breaux, CFP®, who also goes by Tracey James Breaux, Tracey Breaux, Tracey Breaux, is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in New Orleans, Louisiana.

Tracey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Tracey has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tracey James Breaux | Tracey Breaux | Tracey Breaux

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.
ACTING/MULTIPLE AGENCIES, NON NVESTMENT-RELATED, NEW YORK, NY., PERFORMING/FINE ARTS, ACTOR, 09/28/2015, LESS THN 20 HOURS PER MONTH, NON DURING SECURITIES TRADING HOURS, ACTOR IN THEATRICAL, FILM, AND/OR TV PRODUCTIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey J Breaux's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

September 22, 2022 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: 3900 Hancock Whitney Center 701 Poydras Street, New Orleans, LA 70139
RIA
CRD#: 110921
New Orleans, LA
Past

September 16, 2022 - September 20, 2022

FRUITFUL

RIA
CRD#: 322603
NEW YORK, NY
Past

June 24, 2021 - March 24, 2022

ORIGIN INVESTMENT ADVISORY LLC

RIA
CRD#: 305353
EUNICE, LA
Past

May 2, 2014 - April 12, 2019

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
New York City, NY
Past

October 31, 2012 - April 12, 2019

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
New York City, NY
Past

September 2, 2011 - October 10, 2012

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
NEW YORK, NY
Past

September 2, 2011 - October 4, 2012

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
NEW YORK, NY
Past

September 24, 2009 - February 1, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

September 24, 2009 - February 1, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 7, 2004 - April 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

March 30, 2004 - April 6, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL
Past

February 21, 2003 - March 15, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

October 10, 2002 - March 15, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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".
E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 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
Louisiana
(9/22/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/28/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/7/2010
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2002
General Securities Representative Examination

Current Firm

E&
ERNST & YOUNG INVESTMENT ADVISERS LLP
ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA
Registered Investment Advisory firm - (4/7/1995 Approved)
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Contact information

Main Address
200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094
Mailing Address
Phone number
(800) 273-0588
Established
Firm type
Fiscal year end
# of Employees
140

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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.

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

CRD#: 110921New Orleans, LA 70139

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