Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy Tracy has been in the financial services industry since 1987 and is a CERTIFIED FINANCIAL PLANNER™ professional. Timothy Tracy is currently registered with Independent Financial Group, LLC and has experience in providing a range of financial services, including financial planning, pension consulting, and portfolio management. Timothy Tracy has previously been registered with a number of other firms, including NPB FINANCIAL GROUP, LLC, ASSOCIATED SECURITIES CORP., SENTRA SECURITIES CORPORATION, GRANITE INVESTMENT SERVICES, INC., PRIMEVEST FINANCIAL SERVICES, INC., AFS BROKERAGE, INC., CHARLES SCHWAB & CO., INC., CIGNA SECURITIES, INC., ARAGON FINANCIAL SERVICES, INC., PAINEWEBBER INCORPORATED, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, SME CAPITAL MANAGEMENT CORPORATION, ADVANTAGE CAPITAL CORPORATION, and JOHN HANCOCK DISTRIBUTORS, INC. Timothy Tracy holds a Series 7, 24, 53, 63, and 65 license and has been recognized by various organizations for his expertise in the financial services industry.
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.
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
AZ
10/12/2022 - Present
Independent Financial Group, LLC (Prescott Valley AZ)
AZ
08/10/2009 - 07/15/2022
NPB FINANCIAL GROUP, LLC (Prescott Valley AZ)
CA
06/20/2003 - 08/12/2009
ASSOCIATED SECURITIES CORP. (RIVERSIDE CA)
AZ
12/09/1998 - 06/27/2003
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
MN
02/23/1998 - 12/11/1998
GRANITE INVESTMENT SERVICES, INC. (ST. CLOUD MN)
MN
01/03/1997 - 02/13/1998
PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)
TX
04/11/1995 - 12/31/1996
AFS BROKERAGE, INC. (AUSTIN TX)
TX
11/09/1993 - 04/13/1995
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
PA
05/11/1993 - 08/05/1993
CIGNA SECURITIES, INC. (RADNOR PA)
CA
10/19/1992 - 05/07/1993
ARAGON FINANCIAL SERVICES, INC. (IRVINE CA)
NJ
06/05/1991 - 11/02/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/14/1988 - 06/07/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
02/22/1988 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
10/31/1987 - 03/01/1988
SME CAPITAL MANAGEMENT CORPORATION
NA
06/23/1987 - 12/31/1987
ADVANTAGE CAPITAL CORPORATION
NA
03/18/1987 - 06/27/1987
JOHN HANCOCK DISTRIBUTORS, INC.
IA
Issued 09/12/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/21/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/03/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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