Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Dewane is a financial advisor with over 30 years of experience in the industry. Tracey has a strong background in investments, financial planning, and portfolio management. Tracey is currently registered with Raymond James Financial Services Advisors, Inc. and has previously worked for Oppenheimer & Co. Inc., CIBC World Markets Corp., Waterford Financial, Inc., Prudential Securities Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Great Western Financial Securities Corporation, and Smith Barney Inc. Tracey offers a variety of services to her clients, including financial planning, portfolio management, and educational seminars. Tracey is dedicated to providing her clients with the highest level of service and expertise.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
01/28/2016 - Present
Raymond James Financial Services Advisors, Inc. (NEWPORT BEACH CA)
NY
01/03/2003 - 04/14/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
01/03/2002 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
MN
09/10/2001 - 11/30/2001
WATERFORD FINANCIAL, INC. (MINNEAPOLIS MN)
NY
10/06/1997 - 07/06/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/12/1997 - 09/03/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/01/1995 - 09/20/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
07/22/1994 - 08/12/1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NY
08/23/1990 - 08/04/1994
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 10/13/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/05/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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