Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Tracy is a financial advisor at WEALTHPENN.COMLLC. James has over 40 years of experience in the financial services industry. James has held senior positions at several major financial institutions, including Citigroup Global Markets Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, IDS Life Insurance Company, IDS Marketing Corporation and Investors Diversified Services, Inc. James is a Series 3, 6, 7, 8, 9, 10, 15, 24, 63, 65, 79TO and SIE licensed professional. James is registered with the state of Ohio as both a Broker-Dealer and an Investment Advisor. James has a broad range of experience providing financial advice to individuals, families, and businesses. James specializes in the areas of asset allocation, portfolio management, and financial planning.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OH
06/01/2009 - Present
Wealthpenn.comllc (Dublin OH)
MI
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAGINAW MI)
NY
03/18/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/20/1983 - 03/29/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
08/28/1981 - 08/19/1983
IDS LIFE INSURANCE COMPANY
NA
08/28/1981 - 08/19/1983
IDS MARKETING CORPORATION
NA
08/28/1981 - 08/19/1983
INVESTORS DIVERSIFIED SERVICES, INC.
BC
Issued 9/13/1996
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/5/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/3/2010
Series 24 - General Securities Principal Examination
BC
Issued 4/13/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/17/1996
Series 15 - Foreign Currency Options Examination
BC
Issued 7/11/1994
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 8/19/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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