Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Martin is a financial advisor with Raymond James & Associates, Inc., a firm with over 100,000 clients and assets under management totaling more than $433 billion. Tracey has been a registered representative for over 28 years and has worked in the financial services industry for over 27 years. Tracey provides a range of services including financial planning, pension consulting, educational seminars, and portfolio management for businesses and individuals. Tracey also serves as a FINRA non-public arbitrator.
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.
Please see note in schedule d - miscellaneous
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
TX
12/13/2011 - Present
Raymond James & Associates, Inc. (Frisco TX)
TX
10/13/2010 - 12/15/2011
WOODBURY FINANCIAL SERVICES, INC. (KELLER TX)
TX
07/06/2005 - 07/14/2010
CHASE INVESTMENT SERVICES CORP. (MARSHALL TX)
IL
01/26/2004 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
04/11/1995 - 01/05/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 12/04/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/28/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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