Tracy L. Allen
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.
Tracy L Allen, who also goes by Tracy Lee Allen, Tracy Allen, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 2010. Tracy had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2020 - December 31, 2021
FROST INVESTMENT SERVICES
February 13, 2020 - January 3, 2022
FROST BROKERAGE SERVICES, INC.
July 25, 2016 - August 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2016 - August 30, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2012 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2012 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 31, 2011 - April 5, 2011
FSC SECURITIES CORPORATION
July 20, 2010 - October 14, 2010
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
