Tracy M. Meade

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CRD#: 6145108

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 M Meade was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 2013. Tracy had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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®

None

Experience

Past

April 5, 2019 - November 16, 2020

COLONIAL RIVER WEALTH MANAGEMENT LLC

RIA

CRD#: 284839

MIDLOTHIAN, VA

Past

March 28, 2019 - October 8, 2019

LPL FINANCIAL LLC

CRD#: 6413

MIDLOTHIAN, VA

Past

August 10, 2016 - February 8, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Charlottesville, VA

Past

August 1, 2016 - February 8, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Charlottesville, VA

Past

March 5, 2015 - June 23, 2016

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

Charlottesville, VA

Past

March 4, 2015 - June 23, 2016

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

Charlottesville, VA

Past

October 25, 2013 - December 21, 2013

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

CHARLOTTESVILLE, VA

Past

April 16, 2013 - December 21, 2013

ONEAMERICA SECURITIES, INC.

CRD#: 4173

CHARLOTTESVILLE, VA

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".

COLONIAL RIVER WEALTH MANAGEMENT LLC

CRD#: 284839 / SEC#: 801-113243

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Virginia

Registered Investment Advisory firm - (8/29/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/15/2013

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COLONIAL RIVER WEALTH MANAGEMENT LLC

CRD#: 284839 / SEC#: 801-113243

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Virginia

Registered Investment Advisory firm - (8/29/2018 Terminated)

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Contact information

Main Address

340 Browns Hill Court, Midlothian, VA 23114

Mailing Address

Phone number

(804) 335-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLONIAL RIVER DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (4/24/2025)

Regulatory assets under management

Total Number of Accounts	1,524
AUM (Assets Under Management)	$ 339,836,345

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.

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Advisor Monitoring

Firm Stability Insights

Tracy M. Meade

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

Primary Firm SEC Registration

COLONIAL RIVER WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2013

Series 63

Date: 5/29/2013

SIE

Date: 10/1/2018

Series 6

Date: 4/15/2013

Current Firm

COLONIAL RIVER WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLONIAL RIVER WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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