David R. Tracey

PATHWAY FINANCIAL ADVISERS

Auburn, IN 46706

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CRD#: 5222875

Professional summary

David Reynolds Tracey, CFP®, who also goes by David R Tracey, is a registered financial advisor currently at PATHWAY FINANCIAL ADVISERS, LLC located in Auburn, Indiana.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. David has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David R Tracey

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.

David Reynolds Tracey is the owner of Financial Building, LLC DBA Covenant Properties. This building was purchased by David Tracey (50%), Austin Miller (25%), Steve Post (12.5%) & Joel Grimm (12.5%) in Auburn, Indiana for the purpose of renting it to the Investment Firm Pathway Financial Advisers, LLC & an accounting/tax Firm Post & Miller, Inc. His responsibilities include managing the real estate property for the tenants of Pathway Financial Advisers, LLC & Post & Miller, Inc. 5 hours a month are devoted to this activity during trading hours. 10 hours a month are devoted to this activity outside of trading hours. 0 yearly compensation is expected to be derived from this business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Reynolds Tracey'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

Start date: 2016

Experience

Current

December 13, 2017 - Present

PATHWAY FINANCIAL ADVISERS, LLC

Office #1: 4571 County Road 35, Auburn, IN 46706

RIA

CRD#: 166237

Auburn, IN

Past

September 21, 2009 - July 3, 2012

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

FORT WAYNE, IN

Past

June 22, 2009 - July 3, 2012

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

FORT WAYNE, IN

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".

PATHWAY FINANCIAL ADVISERS, LLC

PATHWAY FINANCIAL ADVISERS, LLC | STEVEN E POST, LLC

CRD#: 166237 / SEC#: 801-80650

RIA

Registered Investment Advisory firm - (12/22/2014 Approved)

Indiana

Registered Investment Advisory firm - (12/23/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Indiana
(12/13/2017)

IAR

Texas
(12/13/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/17/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/2009

General Securities Representative Examination

Current Firm

PATHWAY FINANCIAL ADVISERS, LLC

PATHWAY FINANCIAL ADVISERS, LLC | STEVEN E POST, LLC

CRD#: 166237 / SEC#: 801-80650

RIA

Registered Investment Advisory firm - (12/22/2014 Approved)

Indiana

Registered Investment Advisory firm - (12/23/2014 Terminated)

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Contact information

Main Address

4571 County Road 35, Auburn, IN 46706

Mailing Address

Phone number

(260) 925-2887

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B - STEVEN E POST (2/14/2025)

ADV PART 2A (2/14/2025)

ADV PART 2B - AUSTIN MILLER (2/14/2025)

ADV PART 2B - ERIN MUTTON (2/14/2025)

ADV PART 2B - DAVID TRACEY (2/14/2025)

ADV PART 2B- JORDAN PFISTER (2/14/2025)

ADV PART 2B - JOEL GRIMM (2/14/2025)

Regulatory assets under management

Total Number of Accounts	1,690
AUM (Assets Under Management)	$ 442,844,998

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.

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David R. Tracey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Reynolds Tracey's CRS (Customer Relationship Summary).

Certified licenses

Experience

PATHWAY FINANCIAL ADVISERS, LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

PATHWAY FINANCIAL ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2009

Series 7

Date: 6/19/2009

Current Firm

PATHWAY FINANCIAL ADVISERS, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PATHWAY FINANCIAL ADVISERS, LLC

TRUST BUT VERIFY

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