Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey McGuinness is a financial advisor with Wells Fargo Clearing Services, LLC. Tracey has been in the financial industry since 1999 and has held positions at several firms including LPL Financial LLC, Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Wachovia Securities, LLC and Prudential Securities Incorporated. Tracey is registered with the state of North Carolina and holds Series 7, Series 63 and SIE licenses. Tracey specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, portfolio management for businesses and individuals and selection of other advisors.
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
MO
08/31/2020 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
SC
01/08/2018 - 02/26/2020
LPL FINANCIAL LLC (FORT MILL SC)
NY
06/01/2009 - 07/13/2017
MORGAN STANLEY (PURCHASE NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
01/12/2005 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
MO
07/01/2003 - 12/01/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
06/08/1999 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 08/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1999
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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