Tracey J. Breaux
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.
Tracey J Breaux, CFP®, who also goes by Tracey James Breaux, Tracey Breaux, Tracey Breaux, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 2002. Tracey had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2022 - August 10, 2026
ERNST & YOUNG INVESTMENT ADVISERS LLP
September 16, 2022 - September 20, 2022
FRUITFUL
June 24, 2021 - March 24, 2022
ORIGIN INVESTMENT ADVISORY LLC
May 2, 2014 - April 12, 2019
CHARLES SCHWAB & CO., INC.
October 31, 2012 - April 12, 2019
CHARLES SCHWAB & CO., INC.
September 2, 2011 - October 10, 2012
USAA FINANCIAL PLANNING SERVICES
September 2, 2011 - October 4, 2012
USAA FINANCIAL ADVISORS, INC.
September 24, 2009 - February 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2009 - February 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2004 - April 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 2004 - April 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 2003 - March 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 10, 2002 - March 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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
Current Firm
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
Red Flags
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