Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Raymond Tracy is a financial advisor with over 30 years of experience in the financial services industry. James has a proven track record of providing personalized financial advice and investment management services to a diverse clientele. Currently, James is a registered representative with Park Avenue Securities LLC, a firm committed to providing a range of financial services, including investment management, financial planning, and educational seminars. Prior to joining Park Avenue Securities, James has held positions at firms such as Guardian Investor Services LLC, Planco Financial Services, LLC, PaineWebber Incorporated, and J.C. Bradford & Co. James is committed to providing high-quality financial advice and building lasting relationships with 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.
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.
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2
NY
09/22/2017 - Present
Park Avenue Securities LLC (NEW YORK NY)
PA
01/16/2009 - 02/12/2014
GUARDIAN INVESTOR SERVICES LLC (VILLANOVA PA)
PA
11/16/2000 - 12/24/2008
PLANCO FINANCIAL SERVICES, LLC (WAYNE PA)
NJ
08/14/2000 - 10/03/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/05/1994 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NA
07/20/1981 - 05/06/1994
DAIN BOSWORTH INCORPORATED
IA
Issued 01/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2010
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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