JT
Jake S. Tracy
HPS SECURITIES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 5948123
JT
Professional summary
Jake Scott Tracy, who also goes by Jake Tracy, is a registered financial professional currently at HPS SECURITIES, LLC located in Los Angeles, California.
Jake is registered as a RR (Registered Representative) and started their career in finance in 2013. Jake has worked at 3 firms and has passed the Series 66, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jake Tracy
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.
CRS (Client Relationship Summary) - BD
Click below to view Jake Scott 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®
NoneExperience
Current
May 2, 2023 - Present
HPS SECURITIES, LLC
Office #1: 10250 Constellation Blvd. Suite 3150, Los Angeles, CA 90067BD
CRD#: 319197
Los Angeles, CA
Past
July 21, 2015 - January 27, 2023
CAIS CAPITAL LLC
BD
CRD#: 154512
Beverly Hills, CA
Past
October 8, 2013 - June 17, 2015
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(6/12/2023)
RR
Alaska(5/4/2023)
RR
Arizona(6/13/2023)
RR
Arkansas(6/14/2023)
RR
California(6/9/2023)
RR
Colorado(5/11/2023)
RR
Connecticut(6/12/2023)
RR
Delaware(5/2/2023)
RR
District of Columbia(6/16/2023)
RR
Florida(7/28/2023)
RR
Georgia(6/12/2023)
RR
Hawaii(6/9/2023)
RR
Idaho(5/2/2023)
RR
Illinois(6/12/2023)
RR
Indiana(7/13/2023)
RR
Iowa(5/2/2023)
RR
Kansas(5/17/2023)
RR
Kentucky(5/2/2023)
RR
Louisiana(5/2/2023)
RR
Maine(6/8/2023)
RR
Maryland(6/13/2023)
RR
Massachusetts(6/14/2023)
RR
Michigan(5/31/2023)
RR
Minnesota(11/14/2023)
RR
Mississippi(5/2/2023)
RR
Missouri(6/30/2023)
RR
Montana(5/4/2023)
RR
Nebraska(6/8/2023)
RR
Nevada(6/13/2023)
RR
New Hampshire(6/13/2023)
RR
New Jersey(6/13/2023)
RR
New Mexico(6/5/2023)
RR
New York(5/2/2023)
RR
North Carolina(6/13/2023)
RR
North Dakota(6/2/2023)
RR
Ohio(5/15/2023)
RR
Oklahoma(5/2/2023)
RR
Oregon(5/30/2023)
RR
Pennsylvania(5/5/2023)
RR
Rhode Island(5/2/2023)
RR
South Carolina(5/9/2023)
RR
South Dakota(6/13/2023)
RR
Tennessee(6/23/2023)
RR
Texas(6/15/2023)
RR
Utah(5/8/2023)
RR
Vermont(6/9/2023)
RR
Virginia(6/13/2023)
RR
Washington(6/9/2023)
RR
West Virginia(6/2/2023)
RR
Wisconsin(5/23/2023)
RR
Wyoming(5/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 5/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC
CRD#: 319197 / SEC#: , 8-70910
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
