TH
Tracy L. Hunter
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CRD#: 5453678
TH
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 Hunter was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 2011. Tracy had worked at 4 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
TOUCHDOWN ENTERTAINMENT, INC. POSITION: Field Team Member NATURE: Super Bowl Half-Time Show Field Team Member INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 12400 Wilshire Blvd, Los Angeles CA 90025 DESCRIPTION: Manual labor at the SuperBowl. Specifically as a half-time field team member. Setup and functionality of half-time show. PFG ADVISORS POSITION: Investment Advisor Representative NATURE: Dual IA registration with independent RIA INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 04/16/2018 ADDRESS: 16150 N Arrowhead Fountains Center Drive, Suite 289, Peoria AZ 85382 DESCRIPTION: Investment Advisor Representative offering advisory services to PFG clients SOLLENBERGER VINEYARDS & WINERY POSITION: Production Assistant NATURE: Assisting the vineyard owner with various light tasks. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/15/2019 ADDRESS: 1199 Pyle Ranch Road, Payson AZ 85541 DESCRIPTION: Some manual labor working on the vineyard, occasional assistance with paperwork and marketing. DOORDASH POSITION: Dasher NATURE: DoorDash delivery person aka Dasher - independent contractor using App to delivery locally using my personal vehicle. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021 ADDRESS: 901 Market Street, 6th Floor, San Francisco CA 94103 DESCRIPTION: DoorDash App sends pickup/delivery instructions for local deliveries to be carried out. Dasher (aka independent contractor) is responsible for accepting and delivering orders through the App.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 2, 2018 - November 7, 2023
PFG ADVISORS
RIA
CRD#: 173344
Phoenix, AZ
Past
December 8, 2016 - December 1, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
PHOENIX, AZ
Past
May 16, 2014 - December 31, 2018
CUE FINANCIAL GROUP, INC.
RIA
CRD#: 21033
PHOENIX, AZ
Past
August 29, 2011 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
PHOENIX, AZ
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".
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
Registered Investment Advisory firm - (12/1/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PA
PFG ADVISORS
4 CORNERS (CUE FINANCIAL GROUP) | WEBB FINANCIAL ADVISORS | WEALTH MANAGEMENT GROUP | UNITED PRAIRIE FINANCIAL NETWORK | UFG GROUP | TURNING POINTE WEALTH MANAGEMENT | TUCSON OLD PUEBLO WEALTH MANAGEMENT | TRUWEST WEALTH MANAGEMENT SERVICES | TRUE COMPASS FINANCIAL | TROJAN WEALTH MANAGEMENT | THUNDERBIRD WEALTH MANAGEMENT | STATE ECU WEALTH PLANNING | STARLIFTER WEALTH MANAGEMENT | STANFORD FEDERAL INVESTMENT SERVICES | SOMMER INVESTMENTS | SCOTT HANISH LLC | SATTLER PENSION AND WEALTH MANAGEMENT | RORBACH FINANCIAL SERVICES | ROCHA WEALTH ADVISORS | RETIREADY ADVISORS | REACH INVESTMENT SERVICES | PRIORITY FINANCIAL PARTNERS, LLC | PRIORITY FINANCIAL PARTNERS | PINNACLE SOUTHWEST SECURITIES & INVESTMENTS, CO | PINAL COUNTY FINANCIAL SERVICES | PHOCUS RETIREMENT SERVICES | PHOCUS FINANCIAL STRATEGIES GROUP | PFG ADVISORS, LLC | PFG ADVISORS | PFG (PEORIA) | OCCU INVESTMENT SERVICES | MY POINT | MORROW FINANCIAL GROUP | MISSION CITY INVESTMENT SERVICES | MILLER WEALTH MANAGEMENT, INC. | MILES BROWN ASSET MANAGEMENT | MANSELL CAPITAL MANAGEMENT | MANGUS WEALTH MANAGEMENT | LPL SUNNYVALE | LONESTAR WEALTH MANAGEMENT | LONE STAR INVESTMENT SOLUTIONS | LBW INSURANCE & FINANCIAL SERVICES | LANDINGS FINANCIAL SERVICES | KLEVENS CAPITAL MANAGEMENT, INC. | KEYPOINT FINANCIAL SERVICES | KALINA WEALTH ADVISORS | JUDD WEALTH MANAGEMENT | JAMES MERKEL (PYRAMID FCU) | INTEGRO WEALTH MANAGEMENT | IHN FAMILY LEGACY PLANNING, INC. | IDAHO CENTRAL WEALTH MANAGEMENT | GAVAGAN FINANCIAL SERVICES | FORTHRIGHT FINANCIAL SERVICES | FIRST SERVICE WEALTH MANAGEMENT | FINANCIAL SERVICES AT FMFCU | ELEVATE WEALTH | EAGLE WEALTH MANAGEMENT | DIAMOND FINANCIAL PLANNING | DEER VALLEY FINANCIAL SERVICES | DAVIS FINANCIAL MANAGEMENT | CUE FINANCIAL GROUP | COUNTY FEDERAL WEALTH MANAGEMENT | CORNERSTONE ASSET MANAGEMENT (CORNERSTONE WEALTH MANAGEMENT) | COPPER STATE WEALTH MANAGEMENT | CHABOT FINANCIAL SERVICES | CANYON STATE WEALTH MANAGEMENT SERVICES | CANO CAPITAL MANAGEMENT, LLC | CALIFORNIA COAST FINANCIAL SERVICES | BLUPEAK INVESTMENT SERVICES | BATIE & CO CAPITAL MGMT LLC | ASCENSION COLLEGE PLANNING | APRICITY WEALTH MANAGEMENT | ANTHEA WEALTH MANAGEMENT | ALTIER INVESTMENTS AND FINANCIAL PLANNING | ALTIER INVESTMENT SERVICES | AERO INVESTMENT SERVICES | A.I.R.E FINANCIAL | A. M. GUIDANCE & FINANCIAL SERVICES CONSULTING LLC
CRD#: 173344 / SEC#: 801-80797
RIA
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Contact information
Main Address
3200 N. Central Ave Suite #200, Phoenix, AZ 85012
Mailing Address
Phone number
(800) 405-8850
Established
Firm type
Fiscal year end
# of Employees
119
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,550 |
| AUM (Assets Under Management) | $ 3,083,491,501 |
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.
