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AT

Amanda K. Tracey

INDEPENDENCE POINT SECURITIES LLC
New York, NY 10006
Some features on this profile are disabled
CRD#: 6818312
AT

Professional summary

Amanda Kathryn Tracey, who also goes by Amanda Tracey, is a registered financial professional currently at INDEPENDENCE POINT SECURITIES LLC located in New York, New York.

Amanda is registered as a RR (Registered Representative) and started their career in finance in 2020. Amanda has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amanda Tracey

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 Amanda Kathryn Tracey'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

June 3, 2024 - Present

INDEPENDENCE POINT SECURITIES LLC

Office #1: 101 Greenwich Street Suite 1202, New York, NY 10006
BD
CRD#: 318171
New York, NY
Past

August 29, 2020 - May 23, 2024

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

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
New York
(6/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/3/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/13/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/31/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IP
INDEPENDENCE POINT SECURITIES LLC
INDEPENDENCE POINT SECURITIES | INDEPENDENCE POINT SECURITIES, LLC | INDEPENDENCE POINT SECURITIES LLC

CRD#: 318171 / SEC#: , 8-70853

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

Main Address
101 Greenwich Street Suite 1202, New York, NY 10006
Mailing Address
101 Greenwich Street Suite 1202, New York, NY 10006
Phone number
(212) 468-5850
Established
Delaware since 11/23/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INDEPENDENCE POINT ADVISORS LLCSOLE MEMBER
BLANCO MARQUEZ, ADRIANA GRISELLECHIEF COMPLIANCE OFFICER7778003
CLARKE WOLFF, ANNECHIEF EXECUTIVE OFFICER1983092
ROSENBERG, JULIE SUZANNESENIOR CONTROLLER & FINOP/PFO/POO4960894

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

INDEPENDENCE POINT SECURITIES LLC

CRD#: 318171New York, NY 10006

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