Tracey Cormier
Professional summary
Tracey Cormier, who also goes by Tracey Lynn Hull, is a registered financial professional currently at PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Charlotte, North Carolina.
Tracey is registered as a RR (Registered Representative) and started their career in finance in 2022. Tracey has worked at 3 firms and has passed the SIE and Series 99TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracey Cormier's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2025 - Present
PRINCIPAL FUNDS DISTRIBUTOR, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262April 1, 2025 - August 4, 2025
VICTORY CAPITAL SERVICES, INC.
December 2, 2022 - April 1, 2025
AMUNDI DISTRIBUTOR US, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 9/9/2022
Operations Professional ExaminationFINRA
Current Firm
PRINCIPAL FUNDS DISTRIBUTOR, INC.
CRD#: 43261 / SEC#: , 8-50200
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY (US), LLC | OWNER | |
| BERG, JOHN THOMAS | DIRECTOR | 7973551 |
| CLINES, SEAN THOMAS | CHIEF FINANCIAL OFFICER | 3055601 |
| DESSOUKI, RAMONA HIATT | CHIEF MARKETING OFFICER | 7812577 |
| HILL, TIMOTHY ALLEN | NATIONAL SALES MANAGER/DIRECTOR | 2317289 |
| HOESKE, DINA ROMEO | SENIOR DIRECTOR - FUND SHAREHOLDER SERVICES | 2704646 |
| MURRAY, MICHAEL FRANCIS | DIRECTOR | 2074275 |
| SCHOLTEN, MICHAEL JOSEPH | PRINCIPAL OPERATIONS OFFICER | 6388259 |
| STOCKMAN, MICHELLE RENEE | CHIEF COMPLIANCE OFFICER | 5010490 |
| WONG, BRANT K | PRESIDENT/DIRECTOR (CHAIRMAN) | 5093714 |
Red Flags
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