Charles D. Tracy
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.
Charles Demots Tracy was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2012. Charles 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
January 14, 2019 - October 7, 2022
BELLWETHER CAPITAL MANAGEMENT LLC
April 12, 2016 - September 5, 2017
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
October 12, 2012 - August 11, 2014
MORGAN STANLEY
September 17, 2012 - August 11, 2014
MORGAN STANLEY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BELLWETHER CAPITAL MANAGEMENT LLC
CRD#: 153633 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 26,300,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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