TR
Tracy Read
STRATEGIC ADVISERS LLC
LAKESIDE PARK, KY
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CRD#: 4661267
TR
Professional summary
Tracy Read is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Lakeside Park, Kentucky and FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Tracy has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
OBA-95684|OrgNmn:Kentucky Highschool Athletic Assocaition|Org Addr:Lexington,Kentucky,US|OBA Nature:Kentucky Sports|Invst Rel:N|Title:Basketball Referee|Duties:Basketball referee for middle school aged kids|StrtDt:|TotHrs/mon:20|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Read's 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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 100 Howe Drive, Covington, KY 41015RIA
CRD#: 104555
LAKESIDE PARK, KY
Current
August 11, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 Howe Drive, Covington, KY 41015BD
CRD#: 7784
Covington, KY
Past
May 18, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COVINGTON, KY
Past
June 26, 2019 - June 25, 2020
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Cincinnati, OH
Past
June 26, 2019 - June 25, 2020
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Cincinnati, OH
Past
June 16, 2016 - June 6, 2019
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CINCINNATI, OH
Past
June 16, 2016 - June 6, 2019
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CINCINNATI, OH
Past
May 27, 2009 - June 3, 2016
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
COVINGTON, KY
Past
June 4, 2008 - May 31, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
COVINGTON, KY
Past
April 20, 2005 - March 29, 2006
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
October 15, 2004 - April 20, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
July 23, 2004 - October 6, 2004
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/15/2020)
RR
Alaska(9/15/2020)
RR
Arizona(9/15/2020)
RR
Arkansas(9/15/2020)
RR
California(9/15/2020)
RR
Colorado(9/15/2020)
RR
Connecticut(9/15/2020)
RR
Delaware(9/15/2020)
RR
District of Columbia(9/15/2020)
RR
Florida(9/15/2020)
RR
Georgia(9/15/2020)
RR
Hawaii(9/15/2020)
RR
Idaho(9/15/2020)
RR
Illinois(9/15/2020)
RR
Indiana(9/15/2020)
RR
Iowa(9/15/2020)
RR
Kansas(9/15/2020)
RR
Kentucky(8/12/2020)
IAR
Kentucky(3/31/2025)
RR
Louisiana(9/15/2020)
RR
Maine(9/15/2020)
RR
Maryland(9/15/2020)
RR
Massachusetts(9/15/2020)
RR
Michigan(9/15/2020)
RR
Minnesota(9/15/2020)
RR
Mississippi(9/15/2020)
RR
Missouri(9/15/2020)
RR
Montana(9/15/2020)
RR
Nebraska(9/15/2020)
RR
Nevada(9/15/2020)
RR
New Hampshire(9/15/2020)
RR
New Jersey(9/15/2020)
RR
New Mexico(9/15/2020)
RR
New York(9/15/2020)
RR
North Carolina(9/15/2020)
RR
North Dakota(9/15/2020)
RR
Ohio(9/16/2020)
RR
Oklahoma(9/15/2020)
RR
Oregon(9/15/2020)
RR
Pennsylvania(9/15/2020)
RR
Puerto Rico(9/15/2020)
RR
Rhode Island(9/15/2020)
RR
South Carolina(9/15/2020)
RR
South Dakota(9/15/2020)
RR
Tennessee(9/15/2020)
RR
Texas(9/15/2020)
IAR
Texas(3/31/2025)
RR
Utah(9/15/2020)
RR
Vermont(9/15/2020)
RR
Virgin Islands(1/5/2024)
RR
Virginia(9/15/2020)
RR
Washington(9/15/2020)
RR
West Virginia(9/15/2020)
RR
Wisconsin(9/15/2020)
RR
Wyoming(9/15/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
