Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Lynn Keith is a financial advisor at UBS Financial Services Inc. Tracey has been in the financial industry since 2001 and is registered with FINRA and the state of Florida. Tracey is also registered as an investment advisor representative. Tracey has a broad range of experience in the financial industry, having worked at several firms prior to joining UBS Financial Services Inc. including Citigroup Global Markets Inc., American Portfolios Financial Services, Inc., Raymond James Financial Services, Inc., Josephthal & Co., Inc., and Gruntal & Co., L.L.C.
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.
See schedule d - miscellaneous
1
2
FL
12/04/2008 - Present
UBS Financial Services Inc. (FT. LAUDERDALE FL)
FL
01/15/2007 - 12/15/2008
CITIGROUP GLOBAL MARKETS INC. (FT. LAUDERDALE FL)
NY
11/19/2002 - 06/09/2004
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (HOLBROOK NY)
FL
03/21/2001 - 11/22/2002
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
NY
08/09/2000 - 03/21/2001
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
05/29/1998 - 08/04/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
BOTH
Issued 01/29/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/11/1998
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/12/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/09/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/26/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/12/2007
Series 7 - General Securities Representative Examination
BC
Issued 06/22/1995
Series 2 - Non-Member General Securities Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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