TC
Tracy L. Clanton
SANCTUARY ADVISORS
Slidell, LA 70461
Some features on this profile are disabled
CRD#: 7032581
TC
Professional summary
Tracy Lynn Clanton, who also goes by Tracy Clanton, Tracy Lynn Finch, is a registered financial advisor currently at SANCTUARY ADVISORS, LLC located in Slidell, Louisiana and SANCTUARY SECURITIES, INC. located in Slidell, Louisiana.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Tracy has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Clanton | Tracy Lynn Finch
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.
1) SLIDELL CIVIL SERVICE BOARD POSITION: Member NATURE: The Slidell Civil Service Board is an independent board representing the interests of all classified employees of the City of Slidell (Louisiana) and serves as an impartial review board that enacts and adjudicates City of Slidell Civil Service Rules to regulate personnel activities, and hears appeals from employees. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 9/19/2024 ADDRESS: PO Box 828, Slidell LA 70459, United States DESCRIPTION: I haven't received any formal duties/responsibilities from the Board yet as I just received an appointment letter and have yet to be contacted by the Board Chair. I am happy to update this as soon as I receive this information. In the meantime, I found the below duties via a Google search on "Duties of a Civil Service Board Member". Rule making: Adopt, amend, and enforce rules and regulations for employment and appointment Eligibility certification: Certify lists for entrance, promotion, and transfer Guidance and recommendations: Provide guidance and make recommendations for employment activities and testing procedures Hearings: Conduct hearings and make decisions on appeals from employees who have been suspended, demoted, discharged, or reduced in rank Subpoenas: Administer oaths and subpoena witnesses and documents relevant to hearings Personnel selection: Oversee the design of personnel selection Discrimination appeals: Provide a forum for employees to appeal claims of discrimination Trial Board hearings: Administer Trial Board hearings with members of the Civil Service Adjunct Panel Investigations: Conduct investigations into Civil Service management and report findings to the City Council Appointment: Appoint a Civil Service Director when a vacancy occurs 2) CITY OF SLIDELL POSITION: Appointed member of the Slidell Civil Service Board. I was informed that we are paid $75 for each meeting we attend. Meetings are every other month (6 per year = $450) with special meetings called when needed. I was also informed that I'm being enrolled in the Louisiana Public Employees Deferred Compensation Plan. I will disclose the account information once I receive it. NATURE: City government in the State of Louisiana whose purpose is to oversee the operations and functions for the incorporated area considered the City of Slidell. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 9/19/2024 ADDRESS: PO Box 828, Slidell LA 70459, United States DESCRIPTION: The board meets, at a minimum, of once every other month. Rule making: Adopt, amend, and enforce rules and regulations for employment and appointment Eligibility certification: Certify lists for entrance, promotion, and transfer Guidance and recommendations: Provide guidance and make recommendations for employment activities and testingprocedures Hearings: Conduct hearings and make decisions on appeals from employees who have been suspended, demoted,discharged, or reduced in rank Subpoenas: Administer oaths and subpoena witnesses and documents relevant to hearingsPersonnel selection: Oversee the design of personnel selection Discrimination appeals: Provide a forum for employees to appeal claims of discriminationTrial Board hearings: Administer Trial Board hearings with members of the Civil ServiceAdjunct Panel Investigations: Conduct investigations into Civil Service management and report findings to the City Council Appointment: Appoint a Civil Service Director when a vacancy occurs
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lynn Clanton'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®
NoneExperience
Current
August 20, 2020 - Present
SANCTUARY ADVISORS, LLC
Office #1: 2054 Gause Blvd E, Slidell, LA 70461RIA
CRD#: 226606
Slidell, LA
Current
August 20, 2020 - Present
SANCTUARY SECURITIES, INC.
Office #1: 2054 Gause Boulevard East, Slidell, LA 70461BD
CRD#: 205
Slidell, LA
Past
February 22, 2019 - August 21, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SLIDELL, LA
Past
February 5, 2019 - August 21, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SLIDELL, LA
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".
SA
SANCTUARY ADVISORS, LLC
1280 FINANCIAL PARTNERS | WOLFRUM CAPITAL MANAGEMENT GROUP | WIGAND INTEGRATED WEALTH | WESLEY BATES | WALLS WEALTH MANAGEMENT | VOSS GENELLY GROUP | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS ADVISORS | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE PEREZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE ORODICA & DE LA GARZA PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE MANCUSI GROUP | THE LOPEZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE LONGO GROUP | THE GUERRERO PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE CHAPA & SALINAS PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | TENET WEALTH PARTNERS | STRATEGIC WEALTH CAPITAL | SOUTHERN OAK WEALTH GROUP | SMITHBERG WEALTH | SLK PRIVATE WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH GROUP | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES | SANCTUARY INVESTMENT SOLUTIONS | SANCTUARY INSURANCE SOLUTIONS | SANCTUARY GLOBAL (MIAMI) | SANCTUARY GLOBAL | SANCTUARY ASSET MANAGEMENT | SANCTUARY ALTERNATIVE HOLDINGS | SANCTUARY ADVISORS, LLC | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUIRINI WEALTH GROUP | QUESTAR CAPITAL PARTNERS | PURPLE SECTOR INVESTMENTS, LLC | PRAIRIEFIRE WEALTH PLANNING | PRAETEGO PRIVATE WEALTH | PARAGON PRIVATE WEALTH MANAGEMENT | OTLEY PRIVATE WEALTH MANAGEMENT | NOYES ADVISORS LLC | NOYES ADVISORS | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH PARTNERS | NEWSPRING WEALTH PARTNERS | NAVIS WEALTH MANAGEMENT | NAVASYNC PRIVATE WEALTH | MUIRWOOD PRIVATE WEALTH | MONROE FINANCIAL GROUP | MFORCE CAPITAL ARKANSAS, MARRIOTT WEALTH ADVISORS | MFORCE CAPITAL - FOSSIL ROCK PRIVATE WEALTH | MFORCE CAPITAL | MESA POINTE WEALTH | MERCER WEALTH MANAGEMENT | MARRIOTT WEALTH ADVISORS, INC., A DIVISION OF MFORCE CAPITAL | MARKSMAN WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LIONS WEALTH PARTNERS | LEGACY WEALTH GROUP | LEBLANC FINANCIAL GROUP | KETORET CAPITAL | JDK WEALTH ADVISORS | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | INNOVISE FAMILY WEALTH ADVISORS, LLC | INNOVISE FAMILY WEALTH ADVISORS | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | HARBOR ASSET PRIVATE WEALTH | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | GFC PLANNING | G SQUARED PRIVATE WEALTH | G SQUARED - THE HARDCASTLE GROUP | FUENTES-HONDERMANN WEALTH MANAGEMENT | FJELL CAPITAL | FAMIGLIA WEALTH | EVERNEST FINANCIAL ADVISORS | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ENCLAVE WEALTH ADVISORS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT, LLC | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CENTEL WEALTH ADVISORY | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPITAL MANAGEMENT GROUP | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIZ CAPITAL MANAGEMENT LLC | AUSPERITY PRIVATE WEALTH | AURIC PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | ACEAL WEALTH DBA SOUTHERN OAK | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 3 SEEDS WEALTH ADVISORS | 18FORTY8 PRIVATE WEALTH
CRD#: 226606 / SEC#: 801-99364
RIA
Registered Investment Advisory firm - (7/10/2015 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(11/21/2023)
RR
California(11/21/2023)
RR
Colorado(11/21/2023)
RR
Delaware(11/21/2023)
RR
Florida(11/21/2023)
RR
Georgia(11/21/2023)
RR
Hawaii(11/21/2023)
RR
Illinois(11/21/2023)
RR
Indiana(11/3/2025)
RR
Louisiana(8/20/2020)
IAR
Louisiana(8/20/2020)
RR
Maryland(11/3/2025)
RR
Massachusetts(11/21/2023)
RR
Michigan(11/21/2023)
RR
Minnesota(11/21/2023)
RR
Mississippi(11/21/2023)
RR
Montana(11/21/2023)
RR
Nevada(11/21/2023)
RR
New Jersey(11/21/2023)
RR
North Carolina(11/21/2023)
RR
Ohio(11/21/2023)
RR
Oklahoma(11/21/2023)
RR
South Carolina(11/21/2023)
RR
Tennessee(11/21/2023)
IAR
Texas(8/20/2020)
RR
Texas(10/28/2022)
RR
Virginia(11/21/2023)
RR
Washington(11/21/2023)
RR
West Virginia(11/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/5/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SANCTUARY ADVISORS, LLC
1280 FINANCIAL PARTNERS | WOLFRUM CAPITAL MANAGEMENT GROUP | WIGAND INTEGRATED WEALTH | WESLEY BATES | WALLS WEALTH MANAGEMENT | VOSS GENELLY GROUP | VINCITA INVESTMENT PARTNERS | VELORUM WEALTH MANAGEMENT | VALOROUS ADVISORS | UPLAND PRIVATE WEALTH | TOVA WEALTH | THEOREM WEALTH MANAGEMENT | THE PEREZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE ORODICA & DE LA GARZA PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE MANCUSI GROUP | THE LOPEZ PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE LONGO GROUP | THE GUERRERO PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | THE CHAPA & SALINAS PRIVATE WEALTH GROUP - EXCELSIS GLOBAL PRIVATE WEALTH | TENET WEALTH PARTNERS | STRATEGIC WEALTH CAPITAL | SOUTHERN OAK WEALTH GROUP | SMITHBERG WEALTH | SLK PRIVATE WEALTH | SKYPATH PRIVATE WEALTH | SANCTUARY WEALTH PARTNERS | SANCTUARY WEALTH GROUP | SANCTUARY WEALTH ADVISORS | SANCTUARY SECURITIES | SANCTUARY INVESTMENT SOLUTIONS | SANCTUARY INSURANCE SOLUTIONS | SANCTUARY GLOBAL (MIAMI) | SANCTUARY GLOBAL | SANCTUARY ASSET MANAGEMENT | SANCTUARY ALTERNATIVE HOLDINGS | SANCTUARY ADVISORS, LLC | SAIGE PRIVATE WEALTH | ROCKET FINANCE | RICEBARRETT FAMILY WEALTH | RHA WEALTH | QUORUM PRIVATE WEALTH | QUIRINI WEALTH GROUP | QUESTAR CAPITAL PARTNERS | PURPLE SECTOR INVESTMENTS, LLC | PRAIRIEFIRE WEALTH PLANNING | PRAETEGO PRIVATE WEALTH | PARAGON PRIVATE WEALTH MANAGEMENT | OTLEY PRIVATE WEALTH MANAGEMENT | NOYES ADVISORS LLC | NOYES ADVISORS | NOBLEVEST PRIVATE WEALTH | NOBLE WEALTH PARTNERS | NEWSPRING WEALTH PARTNERS | NAVIS WEALTH MANAGEMENT | NAVASYNC PRIVATE WEALTH | MUIRWOOD PRIVATE WEALTH | MONROE FINANCIAL GROUP | MFORCE CAPITAL ARKANSAS, MARRIOTT WEALTH ADVISORS | MFORCE CAPITAL - FOSSIL ROCK PRIVATE WEALTH | MFORCE CAPITAL | MESA POINTE WEALTH | MERCER WEALTH MANAGEMENT | MARRIOTT WEALTH ADVISORS, INC., A DIVISION OF MFORCE CAPITAL | MARKSMAN WEALTH MANAGEMENT | MARBLE WEALTH | MACKIE & WALLER WEALTH MANAGEMENT | M&K LEGACY WEALTH | LIONS WEALTH PARTNERS | LEGACY WEALTH GROUP | LEBLANC FINANCIAL GROUP | KETORET CAPITAL | JDK WEALTH ADVISORS | JACKSON HILL & FISH PRIVATE WEALTH ADVISORS | ITERHIC WEALTH ADVISORS | INNOVISE FAMILY WEALTH ADVISORS, LLC | INNOVISE FAMILY WEALTH ADVISORS | HOLDER LEGACY WEALTH PARTNERS | HILLGUARD WEALTH MANAGEMENT | HEREDITAS WEALTH MANAGEMENT | HARBOR ASSET PRIVATE WEALTH | GREEN WEALTH MANAGEMENT GROUP | GRANITE ISLANDS PRIVATE WEALTH | GLOMB PRIVATE WEALTH | GFC PLANNING | G SQUARED PRIVATE WEALTH | G SQUARED - THE HARDCASTLE GROUP | FUENTES-HONDERMANN WEALTH MANAGEMENT | FJELL CAPITAL | FAMIGLIA WEALTH | EVERNEST FINANCIAL ADVISORS | EVANS MAY WEALTH | ENSCONCE WEALTH PARTNERS | ENCLAVE WEALTH ADVISORS | ECLIPSE PRIVATE WEALTH MANAGEMENT | DIAL SQUARE PRIVATE WEALTH | DIAGONAL INVESTMENT OFFICE | DC HILL WEALTH MANAGEMENT | DAVID A. NOYES | CROSSWATERS WEALTH MANAGEMENT | CRESCENT PINE FAMILY OFFICE GROUP | CRESCENT HARBOR PRIVATE WEALTH | CREDO WEALTH MANAGEMENT, LLC | COPPERSKY WEALTH | COOKE FINANCIAL GROUP LLC | CONVERSANT WEALTH MANAGEMENT | CONCENTURE WEALTH MANAGEMENT | CLAYBOURN FRAKES | CHAPPELL WEALTH MANAGEMENT | CHADWICK BAY INVESTMENTS | CERULEAN PRIVATE WEALTH ADVISORS, LLC | CENTERAS PRIVATE WEALTH | CENTEL WEALTH ADVISORY | CEDAR GAP WEALTH MANAGEMENT | CARPION PRIVATE WEALTH | CAPITAL MANAGEMENT GROUP | CAPE ROCK PRIVATE WEALTH | BURNHAM HARBOR PRIVATE WEALTH | BOWERSOCK CAPITAL PARTNERS | BAYLEY INVESTMENT GROUP | AZIZ CAPITAL MANAGEMENT LLC | AUSPERITY PRIVATE WEALTH | AURIC PRIVATE WEALTH | AURIC CAPITAL PARTNERS | ARRAS WEALTH MANAGEMENT | ALLUVIAL PRIVATE WEALTH | ALFA ADVISORY | ACORN ADVISORS GROUP | ACEAL WEALTH DBA SOUTHERN OAK | 6 DEGREES WEALTH | 401K PLAN ADVISOR | 3 SEEDS WEALTH ADVISORS | 18FORTY8 PRIVATE WEALTH
CRD#: 226606 / SEC#: 801-99364
RIA
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Contact information
Main Address
1450 Brickell Avenue Suite 2610, Miami, FL 33131
Mailing Address
Phone number
(317) 975-7729
Established
Firm type
Fiscal year end
# of Employees
699
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 55,540 |
| AUM (Assets Under Management) | $ 27,696,000,000 |
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.
