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Tracy Lynn Weston

Tracy L. Weston

Some features on this profile are disabled
CRD#: 5977740
Tracy Lynn Weston

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.

Tracy Lynn Weston, CFP®, who also goes by Tracy L Weston, Tracy L Whiting, Tracy Lynn Whiting, Tracy Whiting, Trayc Whiting, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 2011. Tracy had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Biography

I take care in building a great relationship with each of my clients. I will collaborate with you to establish clear goals by gaining an understanding of what is important, both personally and financially. I will draw on my decade-plus experience at Fidelity, to help you build life-long ambitions, not just a retirement plan.
top-8-questions

Question & Answer

What is your minimum asset requirement?
1
Are you a "fiduciary"?
No

Aliases

Tracy L Weston | Tracy L Whiting | Tracy Lynn Whiting | Tracy Whiting | Trayc Whiting

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.
OBA-61472|OrgNmn:Weston Acres Camping|Org Addr:Springvill,Utah,US|OBA Nature:Rental of campsite/Trailers|Invst Rel:Y|Title:Partner|Duties:Collect rent, clean campsites|StrtDt:06-01-2021|TotHrs/mon:5|TrdHrs/mon:0|OBA-11281|OrgNmn:Tracy & JD Weston|Org Addr:Cottonwood,Utah,US|OBA Nature:Rental Properties|Invst Rel:Y|Title:Owner|Duties:Collect Rent, Find tenets, make sure units are up to city code.|StrtDt:01-19-2017|TotHrs/mon:2|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2020

Education

Gonzaga University

Master of Arts - Organizational Leadership

2016

Brigham Young University

Bachelor of Arts (BA) - Economics

2011

Experience

Past

July 13, 2018 - June 21, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

January 8, 2014 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SALT LAKE CITY, UT
Past

November 21, 2011 - June 20, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/20/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/26/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/2011
General Securities Representative Examination

Current Firm

FIDELITY PERSONAL AND WORKPLACE ADVISORS
FIDELITY PERSONAL AND WORKPLACE ADVISORS
FIDELITY PERSONAL AND WORKPLACE ADVISORS | FIDELITY PERSONAL AND WORKPLACE ADVISORS LLC

CRD#: 288590 / SEC#: 801-112027

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Contact information

Main Address
245 Summer Street, V2a, Boston, MA 02210
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
15,424

Documents

Latest Form ADV

Part 2 Brochures

FIDELITY WEALTH ADVISOR SOLUTIONS (11/15/2024)
FPWA FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/28/2024)
FPWA FIDELITY GO (3/28/2024)
FPWA FIDELITY MANAGED FIDFOLIOS (3/28/2024)
FPWA FIDELITY STRATEGIC DISCIPLINES (3/28/2024)
FPWA FIDELITY WEALTH SERVICES (3/28/2024)

Regulatory assets under management

Total Number of Accounts1,991,043
AUM (Assets Under Management)$ 818,776,100,963

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/22/2024
Cover Page
Report
10/23/2023
Cover Page
Report
01/06/2023
Cover Page
Report

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

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Financial ConsultantCRD#: 288590

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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