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RT

Regina M. Tracy

ROBINHOOD FINANCIAL
Menlo Park, CA 94025
Some features on this profile are disabled
CRD#: 7930554
RT

Professional summary

Regina M Tracy is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Menlo Park, California and ROBINHOOD SECURITIES, LLC located in Menlo Park, California.

Regina is registered as a RR (Registered Representative) and started their career in finance in 2024. Regina has worked at 2 firms and has passed the Series 99TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Regina M Tracy'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

July 2, 2024 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 85 Willow Road, Menlo Park, CA 94025
BD
CRD#: 165998
Menlo Park, CA
Current

October 22, 2024 - Present

ROBINHOOD SECURITIES, LLC

Office #1: 85 Willow Road, Menlo Park, CA 94025
BD
CRD#: 287900
Menlo Park, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 10/28/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/2/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/25/2024
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
ROBINHOOD SECURITIES, LLC
ROBINHOOD SECURITIES, LLC

CRD#: 287900 / SEC#: , 8-69916

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

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 10/27/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ROBINHOOD MARKETS, INCMEMBER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANCHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND FINOP3103432
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event2
Arbitration3

Red Flags

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Company Information

ROBINHOOD SECURITIES, LLC

CRD#: 287900Menlo Park, CA 94025

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