Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Franklin is a financial advisor with Stifel, Nicolaus & Company, Inc., based in Barrington, Illinois. Tracey has been in the industry since 1998 and holds Series 7, 31, 63, and 65 licenses. Tracey's previous experience includes roles with Morgan Stanley and Harris Investor Services, Inc.. Tracey provides a range of services, including financial planning, portfolio management, 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.
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.
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
IL
02/03/2021 - Present
Stifel, Nicolaus & Company, Inc. (BARRINGTON IL)
IL
06/01/2009 - 11/18/2019
MORGAN STANLEY (BARRINGTON IL)
IL
09/14/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BARRINGTON IL)
IL
12/14/2005 - 09/17/2007
HARRIS INVESTOR SERVICES, INC. (BARRINGTON IL)
NJ
05/01/2002 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
WA
12/09/2000 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
IL
04/15/2000 - 12/09/2000
HARRIS INVESTORLINE (CHICAGO IL)
IL
07/21/1998 - 04/15/2000
HARRIS INVESTORS DIRECT, INC. (CHICAGO IL)
IA
Issued 02/07/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2015
Series 31 - Futures Managed Funds Examination
BC
Issued 07/20/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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