Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Herring is a financial advisor with Wells Fargo Clearing Services, LLC, based in Doylestown, PA. Tracey has been in the financial industry since 2002 and has extensive experience in helping individuals and families achieve their financial goals. Tracey holds a Series 63, Series 65 and Series 7 license. Tracey also holds a SIE certification. Tracey is dedicated to providing personalized financial advice and working closely with clients to understand their needs and create a customized plan that meets their individual goals.
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
PA
10/16/2020 - Present
Wells Fargo Clearing Services, LLC (DOYLESTOWN PA)
PA
07/29/2016 - 03/07/2019
MML INVESTORS SERVICES, LLC (CENTER VALLEY PA)
PA
02/02/2015 - 06/23/2016
CAMBRIDGE INVESTMENT RESEARCH, INC. (HARLEYSVILLE PA)
PA
06/01/2009 - 02/17/2015
MORGAN STANLEY (DOYLESTOWN PA)
PA
02/13/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DOYLESTOWN PA)
PA
07/01/2003 - 02/20/2009
WACHOVIA SECURITIES, LLC (JENKINTOWN PA)
NY
10/15/2002 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 06/21/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/03/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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