Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Francis Tracy is a financial advisor with Wells Fargo Clearing Services, LLC. David is a registered representative in the state of Illinois and has been in the financial services industry since 1998. David has been with Wells Fargo Clearing Services, LLC since 2016. Prior to that, David was employed by Credit Suisse Securities (USA) LLC and Donaldson, Lufkin & Jenrette Securities Corporation. David holds a Series 66, Series 7 and Series 6 license. David has extensive experience in providing investment advice and portfolio management services to individuals, corporations, and institutional clients.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
03/31/2016 - Present
Wells Fargo Clearing Services, LLC (CHICAGO IL)
IL
01/17/2003 - 04/18/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
NJ
10/08/2001 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
11/05/1991 - 12/12/1994
NEW ENGLAND SECURITIES
BOTH
Issued 11/03/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/04/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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