TA
Tracee A. Adams
AMERICAN INDEPENDENT SECURITIES GROUP
Wichita, KS 67203
Some features on this profile are disabled
CRD#: 5858361
TA
Professional summary
Tracee Alane Adams, who also goes by Tracee Alane Holman, is a registered financial advisor currently at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located in Wichita, Kansas.
Tracee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Tracee has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracee Alane Holman
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.Brandon Johnson for Council: Treasurer: 06/2015: 3 hours 2. Life & Health Insurance. Independent Insurance Agent. DBA Hawthorn Capital, LLC. P.O. Box 782722 Wichita, KS. Not investment related. 1 hr/week, not during trading hours. 3. YMCA community development board. Community development. Not investment related. 1 hr/month, not during trading hours. 4. Wichita Police & Fire retirement board. Member of board. 1 hr/month, not during trading hours. 5. Junior Achievement of Kansas - Wichita; P.O. Box 780683 Wichita, KS 67278. Board of Trustee. Charity or Non-Profit Organization. Not investment related. Start 3/15/2018. 0 hr/month, not during trading hours. 6. Certified Financial Educator Instructor. 1515 Goebel Circle S Wichita, KS. Consulting Service. Not investment related. Start 3/15/2018. 0 hr/month, not during trading hours. 7. Wichita State University Board of Trustees, on the Board of Directors, 1845 Fairmount Wichita Kansas 67260. Not Investment Related. Start 7/12/21. 1 - 20% time spent during non-trading hours. Not compensated for this position. 8. Kansas Health Foundation, Non-Profit, Audit Committee member, 309 E. Douglas, Wichita, KS 67202. 7/1/22. 1 - 20% time spent during non-trading hours. 9. President AARP of Kansas. nonProfit, volunteer 3 hrs/mo with 0 during securities trading hours, 6220 SW 29th Street | Suite 300 | Topeka, KS 66614 10. Wichita Regional Chamber of Commerce, Charity/Non-Profit, 350 W Douglas Ave, Wichita, KS 67202, Director or Partner; Trustee, 3/15/2018, 3 hrs/mo and during securities trading hours, Serve as a member of the governing body to provide high level vision for the organization. The board reviews and approves financials, vision and membership goals for he organization. 11. Junior League of Wichita, 6402 E 12th St N, Wichita, KS 67206, United States, Director at large, the office serves on ad hoc projects as requested by the president., 7/1/2022, 12/ mo with 0 during securities trading hours. 12. FINRA Arbitrator,1/1/2018, Serve as a finra arbitrator in finra cases. compensated - on a case by case basis, 13. Wichita Rotary Charitable fund Board, President, 100 N. Main St. #1003,. Wichita ks. 67202, 7/27/2022, Approving funding request to various local non profits response to RFG request. ??Approving funding to Wichita Rotary initiatives. ??Hearing monthly reports from the financial advisors managing the fund endowment. Please note: I do not have trading authority on the account. It is securities related because we approve the financial advisor of the fund when a RFP for an advisor is issued. 2 hrs/mo during securities hours.
CRS (Client Relationship Summary) - RIA
Click below to view Tracee Alane Adams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracee Alane Adams'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
January 23, 2018 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 345 N. Riverview Street Suite 100, Wichita, KS 67203RIA
BD
CRD#: 135288
Wichita, KS
Current
January 17, 2018 - Present
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
Office #1: 345 N. Riverview Street Suite 100, Wichita, KS 67203RIA
BD
CRD#: 135288
Wichita, KS
Past
January 25, 2014 - October 6, 2017
MORGAN STANLEY
RIA
CRD#: 149777
WICHITA, KS
Past
December 16, 2013 - October 6, 2017
MORGAN STANLEY
BD
CRD#: 149777
WICHITA, KS
Past
September 28, 2011 - November 8, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WICHITA, KS
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".
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
California(9/6/2022)
RR
Kansas(1/23/2018)
IAR
Kansas(1/23/2018)
RR
Maryland(1/19/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288 / SEC#: 801-69138, 8-66905
RIA
Registered Investment Advisory firm - SEC (5/27/2008 Approved)Arizona
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)California
Registered Investment Advisory firm - SEC (6/4/2008 Terminated)Colorado
Registered Investment Advisory firm - SEC (7/3/2008 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Florida
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Georgia
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Idaho
Registered Investment Advisory firm - SEC (6/11/2008 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/5/2008 Terminated)Kentucky
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/16/2008 Terminated)Montana
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Nevada
Registered Investment Advisory firm - SEC (7/8/2008 Terminated)New Mexico
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)North Dakota
Registered Investment Advisory firm - SEC (6/9/2008 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Texas
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Washington
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (6/3/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
664 S Rivershore Lane Suite 150, Eagle, ID 83616
Mailing Address
Po Box 579, Eagle, ID 83616
Phone number
(208) 489-3131
Established
Idaho since 12/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
34
SEC notice filing (49 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,987 |
| AUM (Assets Under Management) | $ 604,888,609 |
Disclosures
| Regulatory Event | 1 |
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
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
CRD#: 135288Wichita, KS 67203TRUST BUT VERIFY
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