Tracy M. Lamoreaux
Professional summary
Tracy Marie Lamoreaux was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tracy is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Tracy had worked at 1 firm, which includes AMERICAN FAMILY SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2003 - June 15, 2009
AMERICAN FAMILY SECURITIES, LLC
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
AMERICAN FAMILY SECURITIES, LLC
CRD#: 104433 / SEC#: , 8-52899
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN FAMILY MUTUAL INSURANCE COMPANY | SOLE MEMBER | |
| DENNY, MAUREEN LINETTE | PRESIDENT | 4710109 |
| DENNY, MAUREEN LINETTE | VP PRODUCT | 4710109 |
| GRASEE, KARI ELIZABETH | TREASURER | 4611618 |
| GRASEE, KARI ELIZABETH | CHIEF FINANCIAL OFFICER | 4611618 |
| HAUGLAND, SUSAN MARJORIE | CHIEF COMPLIANCE OFFICER | 4398697 |
| HOLMAN, DAVID CLIFFORD | DIRECTOR | 5890029 |
| HOLMAN, DAVID CLIFFORD | SECRETARY | 5890029 |
| KELLY, DANIEL JAMES | DIRECTOR | 4279218 |
Red Flags
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