Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Carl Tracy is a registered representative with Hilltop Securities Inc. Daniel Carl Tracy has been in the industry since 1987 and has been registered with Hilltop Securities Inc. since 2016. Prior to joining Hilltop Securities Inc., Daniel Carl Tracy worked at FIRST SOUTHWEST COMPANY, LLC, WILLIAM BLAIR & COMPANY L.L.C., PRAGER & CO., LLC, CANTOR FITZGERALD PARTNERS, CANTOR FITZGERALD SECURITIES, J.J. KENNY DRAKE, INC. and TITUS AND DONNELLY, INC. Daniel Carl Tracy has a Series 63 license as well as a Series 52 and a Series 53 license. Daniel Carl Tracy specializes in the following areas: 1, 3, 4, 6, 9.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
NY
01/22/2016 - Present
Hilltop Securities Inc. (NEW YORK NY)
NY
04/21/2014 - 01/22/2016
FIRST SOUTHWEST COMPANY, LLC (NEW YORK NY)
NY
07/10/2012 - 04/22/2014
WILLIAM BLAIR & COMPANY L.L.C. (NEW YORK NY)
NY
02/24/2000 - 07/10/2012
PRAGER & CO., LLC (NEW YORK NY)
NY
03/23/1994 - 01/24/2000
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
NY
11/01/1993 - 01/14/2000
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
06/07/1990 - 02/02/1993
J.J. KENNY DRAKE, INC. (NEW YORK NY)
NY
02/02/1989 - 06/12/1990
TITUS AND DONNELLY, INC. (NEW YORK NY)
NA
09/18/1986 - 01/24/1989
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
BC
Issued 09/09/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1986
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Daniel Tracy is the right advisor for you? Invested Better is here to help.
