TS
Tracey M. Stofa
FORT WASHINGTON INVESTMENT ADVISORS
CINCINNATI, OH 45202
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CRD#: 5489347
TS
Professional summary
Tracey Marie Stofa, who also goes by Tracey Marie Rudd, Tracey Marie Stofa, Tracey Stofa Rudd, is a registered financial advisor currently at FORT WASHINGTON INVESTMENT ADVISORS INC located in Cincinnati, Ohio and TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Tracey has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracey Marie Rudd | Tracey Marie Stofa | Tracey Stofa Rudd
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.
1) Name of other business: Greater Cincinnati Alzheimer's Association; Investment related No; Address of other business: Cincinnati, Ohio; Nature: Community Awareness, programs and fundraising; Position: Co Chair to spring Gala, Board Member; Start date 8/2021 (for Spring Gala) and 8/2022 for Board Member; Approximate number of hours/month: 1-5; 1-5 hours per month during trading hours; Duties include: Chair Spring Gala, Improve community Awareness, provide oversight on alignment with vision and mission. 2) Name of other business: Bethesda Foundation; Not investment related; Address of other Business: Cincinnati OH, 45242; Nature of other Business: Connects people with desire to improve quality of life for patients and families; Position: Board of Trustees; Start date: January 2021; Approximate number of hours/month: 1-5; 1-5 hours per month during trading hours; Duties include: Community awareness and fundraising - for various events. 3) Fort Washington Investment Advisors; investment related; 303 Broadway, Suite 1200, Cincinnati, OH 45202; RIA / Investment Management; Managing Dir & Head PC Group; relationship started 7/2022; 120 - 180 per month; 120 -130 during trading hours; Management Business Development and Client Services.
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Marie Stofa'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
November 14, 2022 - Present
FORT WASHINGTON INVESTMENT ADVISORS INC
Office #1: 303 Broadway Suite 1200, Cincinnati, OH 45202RIA
CRD#: 107126
CINCINNATI, OH
Current
September 15, 2022 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1200, Cincinnati, OH 45202BD
CRD#: 1526
Cincinnati, OH
Past
June 1, 2009 - August 2, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Cincinnati, OH
Past
June 1, 2009 - August 2, 2022
MORGAN STANLEY
BD
CRD#: 149777
Cincinnati, OH
Past
April 23, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
CINCINNATI, OH
Past
April 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
CINCINNATI, OH
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".
FW
FORT WASHINGTON INVESTMENT ADVISORS INC
FORT WASHINGTON INVESTMENT ADVISORS INC
CRD#: 107126 / SEC#: 801-37235
RIA
Registered Investment Advisory firm - (9/14/1990 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
Kentucky(9/15/2022)
RR
Ohio(9/15/2022)
IAR
Ohio(11/14/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FW
FORT WASHINGTON INVESTMENT ADVISORS INC
FORT WASHINGTON INVESTMENT ADVISORS INC
CRD#: 107126 / SEC#: 801-37235
RIA
Registered Investment Advisory firm - (9/14/1990 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
303 Broadway Suite 1200, Cincinnati, OH 45202
Mailing Address
P.o. Box 2388, Cincinnati, OH 45201-2388
Phone number
(513) 361-7600
Established
Firm type
Fiscal year end
# of Employees
154
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,674 |
| AUM (Assets Under Management) | $ 84,948,848,163 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/30/2025 | ||
| 11/04/2024 | ||
| 06/30/2023 | ||
| 11/04/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FORT WASHINGTON INVESTMENT ADVISORS INC
CRD#: 107126Cincinnati, OH 45202TRUST BUT VERIFY
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