Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Kent Tracy is an investment advisor representative at Cambridge Investment Research Advisors, Inc., with over 35 years of experience in the financial services industry. Michael's previous experience includes positions at Investment Centers of America, Inc., RBC Capital Markets Corporation, Brenton Investments, Inc., A. G. Edwards & Sons, Inc., Allied Group Securities Corporation, R. Rowland & Co., Incorporated, and First Jersey Securities, Inc. Michael is registered with FINRA and the states of Alabama, Arizona, California, Colorado, Florida, Illinois, Indiana, Iowa, Minnesota, Missouri, Nebraska, Nevada, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Texas, Virginia, and Wisconsin. Michael is also a registered Investment Advisor Representative with Cambridge Investment Research Advisors, Inc. in the state of Florida. Michael provides investment advice and financial planning services to individual investors, high-net-worth individuals, corporations, and charitable organizations.
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.
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.
Solicitation fees from 3rd party money managers
1
2
IA
10/18/2017 - Present
Cambridge Investment Research Advisors, Inc. (West Des Moines IA)
IA
02/11/2010 - 10/16/2017
INVESTMENT CENTERS OF AMERICA, INC. (west des moines IA)
IA
01/04/1999 - 02/26/2010
RBC CAPITAL MARKETS CORPORATION (CLIVE IA)
MN
05/20/1992 - 01/07/1999
BRENTON INVESTMENTS, INC. (PLYMOUTH MN)
MO
06/01/1988 - 04/14/1992
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
04/20/1987 - 06/03/1988
ALLIED GROUP SECURITIES CORPORATION
NA
08/20/1986 - 05/08/1987
R. ROWLAND & CO., INCORPORATED
NA
02/20/1986 - 04/24/1986
FIRST JERSEY SECURITIES, INC.
BOTH
Issued 01/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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