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TS

Tristan O. Sperry

PACENOTE CAPITAL LLC
AUSTIN, TX
Some features on this profile are disabled
CRD#: 6217650
TS

Professional summary

Tristan Olin Sperry, who also goes by Tristan Sperry, is a registered financial professional currently at PACENOTE CAPITAL LLC located in Austin, Texas.

Tristan is registered as a RR (Registered Representative) and started their career in finance in 2016. Tristan has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tristan Sperry

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 Tristan Olin Sperry'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®
None

Experience

Current

January 13, 2023 - Present

PACENOTE CAPITAL LLC

BD
CRD#: 305007
AUSTIN, TX
Past

September 7, 2017 - January 3, 2023

MERCURY CAPITAL ADVISORS, LLC

BD
CRD#: 152338
NEW YORK, NY
Past

January 17, 2017 - July 27, 2017

CAREY FINANCIAL, LLC

BD
CRD#: 15246
NEW YORK, NY
Past

March 17, 2016 - February 10, 2017

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

February 2, 2016 - February 10, 2017

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
(12/20/2023)
RR
California
(1/13/2023)
RR
Colorado
(1/13/2023)
RR
Iowa
(8/4/2023)
RR
Minnesota
(1/13/2023)
RR
Utah
(2/15/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/15/2016
Uniform Combined 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: 2/2/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PACENOTE CAPITAL LLC
PACENOTE CAPITAL LLC

CRD#: 305007 / SEC#: , 8-70385

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

Main Address
3200 Hillview Rd, Austin, TX 78703
Mailing Address
3200 Hillview Rd, Austin, TX 78703
Phone number
+1 (732) 742-5112
Established
Delaware since 05/14/2019
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PEBB HOLDINGS, LLCOWNER
CANNON, SAMUEL CHASEMANAGING MEMBER5812857
EVANS, MATTHEW LPRINCIPAL5417365
FORTINO, ROBERT ANTHONYFINOP1905741
PETERS, KURT CPRESIDENT & CCO6116553

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

PACENOTE CAPITAL LLC

CRD#: 305007Austin, TX

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