Tracy L Tennant
Professional Summary
Tracy L Tennant, who also goes by Tracy L White, Tracy White, is a registered financial advisor currently at FIFTH THIRD SECURITIES, INC. located in Phoenix, Arizona. Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Tracy has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tracy L Tennant, Tracy L White, Tracy White
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Disclosures on record.
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
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Years of Experience
6 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Current Firm
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
Contact Information
Main Address
34 Fountain Square Plaza Md 1090xb, Cincinnati, OH 45263Mailing Address
38 Fountain Square Plaza Md 1090am, Cincinnati, OH 45263Phone Number
(888) 889-1025Established
Ohio since 05/01/1925Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,353SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | — |
| BAZOIAN, JEFFREY | DIRECTOR, HEAD OF CAPITAL MARKETS | 4485181 |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory Assets Under Management
Total Number of Accounts
47,014AUM (Assets Under Management)
$10,924,793,999Disclosures
Regulatory Event
38Arbitration
19Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | Cover Page | Report |
| 08/26/2024 | Cover Page | Report |
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
FIFTH THIRD SECURITIES | THE OHIO COMPANY | FIFTH THIRD/THE OHIO COMPANY | FIFTH THIRD SECURITIES, INC.
State Registrations and Notice Filings
(10/7/2026)
(10/7/2026)
(12/7/2020)
(2/19/2021)
(6/15/2021)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2020About the Series 6TO examSRO Registrations
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION
CRS (Client Relationship Summary) - RIA
Click below to view Tracy L Tennant's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracy L Tennant's CRS (Customer Relationship Summary).
Similar Advisors
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
VANGUARD MARKETING CORPORATION