Thomas W. 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.
Thomas Walsh Tracy JR, who also goes by Thomas Walsh Tracy, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2012. Thomas had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2019 - April 22, 2024
NED DAVIS RESEARCH, INC.
November 25, 2014 - September 26, 2019
ALLIANCEBERNSTEIN L.P.
November 20, 2014 - September 26, 2019
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 25, 2013 - October 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2013 - October 24, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 20, 2012 - July 16, 2012
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
NED DAVIS RESEARCH, INC.
CRD#: 112260 / SEC#: 801-60241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NED DAVIS RESEARCH, INC.
CRD#: 112260 / SEC#: 801-60241
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 248,514 |
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.
