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CT

Charles D. Tracy

BELLWETHER CAPITAL MANAGEMENT
FAIR OAKS, CA 95628
Some features on this profile are disabled
CRD#: 5672469
CT

Professional summary

Charles Demots Tracy is a registered financial advisor currently at BELLWETHER CAPITAL MANAGEMENT LLC located in Fair Oaks, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Charles has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Demots Tracy'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®
None

Experience

Current

March 31, 2026 - Present

BELLWETHER CAPITAL MANAGEMENT LLC

Office #1: 7840 Madison Ave Ste 115, Fair Oaks, CA 95628
RIA
CRD#: 153633
FAIR OAKS, CA
Past

January 14, 2019 - October 7, 2022

BELLWETHER CAPITAL MANAGEMENT LLC

RIA
CRD#: 153633
EL DORADO HILLS, CA
Past

April 12, 2016 - September 5, 2017

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

October 12, 2012 - August 11, 2014

MORGAN STANLEY

RIA
CRD#: 149777
SAN MATEO, CA
Past

September 17, 2012 - August 11, 2014

MORGAN STANLEY

BD
CRD#: 149777
SAN MATEO, CA

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.

Highlighted states indicate IAR registrations

IAR
California
(3/31/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/2012
General Securities Representative Examination

Current Firm

BC
BELLWETHER CAPITAL MANAGEMENT LLC
BELLWETHER CAPITAL MANAGEMENT LLC

CRD#: 153633 / SEC#:

California
Registered Investment Advisory firm - (1/26/2011 Approved)
Texas
Registered Investment Advisory firm - (8/25/2022 Conditional Restricted)
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Contact information

Main Address
7840 Madison Ave Ste 115, Fair Oaks, CA 95628
Mailing Address
7840 Madison Ave Ste 115, Fair Oaks, CA 95628
Phone number
(888) 338-0777
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts36
AUM (Assets Under Management)$ 36,400,000

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.

Company Information

BELLWETHER CAPITAL MANAGEMENT LLC

CRD#: 153633Fair Oaks, CA 95628

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