Tracy N. Rubin
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 Nicole Rubin was a registered financial professional .
Tracy is a previously registered financial professional and started their career in finance in 2009. Tracy had worked at 3 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
September 24, 2013 - December 27, 2016
CIRCLEUP
July 22, 2010 - July 1, 2013
GOLDMAN SACHS & CO. LLC
October 6, 2009 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2009 - July 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CIRCLEUP
CRD#: 161785 / SEC#: , 8-69052
Contact information
Documents
Red Flags
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