Tracey M. Stofa

FORT WASHINGTON INVESTMENT ADVISORS

CINCINNATI, OH 45202

CRD#: 5489347

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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, LLC 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Marie Stofa'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®

None

Experience

Current

November 14, 2022 - Present

FORT WASHINGTON INVESTMENT ADVISORS INC

Office #1: 303 Broadway Suite 1200, Cincinnati, OH 45202

RIA

CRD#: 107126

CINCINNATI, OH

Current

September 15, 2022 - Present

TOUCHSTONE SECURITIES, LLC

Office #1: 303 Broadway Suite 1200, Cincinnati, OH 45202

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

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.

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".

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.

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

Kentucky
(9/15/2022)

Ohio
(9/15/2022)

IAR

Ohio
(11/14/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/17/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/22/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/25/2016

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FORT WASHINGTON INVESTMENT ADVISORS INC

CRD#: 107126 / SEC#: 801-37235

RIA

Registered Investment Advisory firm - (9/14/1990 Approved)

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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 (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORT WASHINGTON INVESTMENT ADVISORS FORM ADV PART 2A (1/30/2026)

FORM CRS (5/1/2025)

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	Cover Page	Report
11/04/2024	Cover Page	Report
06/30/2023	Cover Page	Report

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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Tracey M. Stofa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Marie Stofa's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOUCHSTONE SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

FORT WASHINGTON INVESTMENT ADVISORS INC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2008

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2008

Series 10

Date: 3/22/2016

Series 9

Date: 1/25/2016

FINRA

Current Firm

FORT WASHINGTON INVESTMENT ADVISORS INC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORT WASHINGTON INVESTMENT ADVISORS INC

TRUST BUT VERIFY

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