Tracy L. Munce
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 Lynn Munce, who also goes by Tracy Noonan, Tracy Lynn Schiager, was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 2007. Tracy had worked at 5 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
January 6, 2017 - February 22, 2017
WADDELL & REED
January 6, 2017 - February 22, 2017
WADDELL & REED
June 9, 2015 - December 31, 2016
WADDELL & REED
June 9, 2015 - December 31, 2016
WADDELL & REED
November 4, 2013 - May 7, 2015
LPL FINANCIAL LLC
November 1, 2013 - May 7, 2015
LPL FINANCIAL LLC
October 28, 2011 - November 1, 2013
CETERA INVESTMENT SERVICES LLC
October 27, 2011 - November 1, 2013
CETERA INVESTMENT SERVICES LLC
March 15, 2010 - October 25, 2011
CAPITAL FINANCIAL SERVICES, INC.
March 15, 2010 - October 25, 2011
CAPITAL FINANCIAL SERVICES, INC.
December 20, 2007 - August 24, 2009
WELLS FARGO INVESTMENTS, LLC
December 10, 2007 - August 24, 2009
WELLS FARGO INVESTMENTS, 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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
