Tracey A. Patton

WILLIS INVESTMENT COUNSEL

Gainesville, GA 30501

Some features on this profile are disabled

CRD#: 7148206

Professional summary

Tracey Anna Patton, who also goes by Tracey Patton, Tracey A Saine, is a registered financial advisor currently at WILLIS INVESTMENT COUNSEL INC located in Gainesville, Georgia.

Tracey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Tracey has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracey Patton | Tracey A Saine

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) - RIA

Click below to view Tracey Anna Patton'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

April 20, 2023 - Present

WILLIS INVESTMENT COUNSEL INC

Office #1: 710 Green Street, Gainesville, GA 30501

RIA

CRD#: 111042

Gainesville, GA

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".

WILLIS INVESTMENT COUNSEL INC

CRD#: 111042 / SEC#: 801-18528

RIA

Registered Investment Advisory firm - (3/22/1983 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.

Highlighted states indicate IAR registrations

IAR

Georgia
(4/20/2023)

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: 3/6/2023

Uniform Investment Adviser Law Examination

Current Firm

WILLIS INVESTMENT COUNSEL INC

CRD#: 111042 / SEC#: 801-18528

RIA

Registered Investment Advisory firm - (3/22/1983 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

710 Green Street, Gainesville, GA 30501

Mailing Address

Phone number

(770) 718-0706

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE FIRM BROCHURE OF WILLIS INVESTMENT COUNSEL (3/18/2025)

Regulatory assets under management

Total Number of Accounts	511
AUM (Assets Under Management)	$ 3,954,398,131

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.

Similar Advisors

Ralph Brooks

KINGSVIEW WEALTH MANAGEMENT, LLC

IAR

BRASELTON, GA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tracey A. Patton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Anna Patton's CRS (Customer Relationship Summary).

Certified licenses

Experience

WILLIS INVESTMENT COUNSEL INC

Primary Firm SEC Registration

WILLIS INVESTMENT COUNSEL INC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2023

Current Firm

WILLIS INVESTMENT COUNSEL INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIS INVESTMENT COUNSEL INC

TRUST BUT VERIFY

Similar Advisors