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TT

Tracy J. Turner

CNL SECURITIES
ORLANDO, FL 32801
Some features on this profile are disabled
CRD#: 6122300
TT

Professional summary

Tracy Jeanne Turner, who also goes by Tracy Jeanne Vondenberg, is a registered financial professional currently at CNL SECURITIES CORP. located in Orlando, Florida.

Tracy is registered as a RR (Registered Representative) and started their career in finance in 2021. Tracy has worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tracy Jeanne Vondenberg

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) - BD

Click below to view Tracy Jeanne Turner's CRS (Customer Relationship Summary).
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

September 14, 2021 - Present

CNL SECURITIES CORP.

Office #1: 450 South Orange Avenue Suite 1300, Orlando, FL 32801
BD
CRD#: 10356
ORLANDO, FL

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
Florida
(9/14/2021)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 9/14/2021
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 5/17/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 28
Date: 9/15/2022
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CNL SECURITIES CORP.
CENTENNIAL INVESTMENT COMPANY | CNL SECURITIES CORP. | CNL INVESTMENT COMPANY | CNL

CRD#: 10356 / SEC#: , 8-26901

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
450 South Orange Avenue Suite 1300, Orlando, FL 32801
Mailing Address
P.o Box 4920, Orlando, FL 32802-4920
Phone number
(407) 650-1000
Established
Florida since 11/13/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CNL FINANCIAL GROUP, INC.PARENT COMPANY OF CNL SECURITIES CORP.
BOYCE, KATHLEEN ANNECHIEF COMPLIANCE OFFICER3086688
HELMS, BRACKSTON EDWARDCO-PRESIDENT2730942
MUJA, GZIMCO-PRESIDENT2916434
MUJA, GZIMNATIONAL SALES DIRECTOR2916434
TURNER, TRACY JEANNECHIEF FINANCIAL OFFICER, FINOP & TREASURER6122300

Disclosures

Regulatory Event1

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

CNL SECURITIES CORP.

CRD#: 10356Orlando, FL 32801

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