Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Lynne Knos has been an active advisor in the financial industry since February 1999. Tracey currently works for Principal Securities, Inc., where she is registered as a Registered Representative and Investment Advisor Representative in Arizona. Tracey also holds licenses in several other states. Before joining Principal Securities, Inc., Tracey worked for Charles Schwab & Co., Inc. and Chase Investment Services Corp. She holds a variety of licenses including Series 66, Series 63, Series 24, Series 10, Series 9, Series 8, SIE, and Series 7. She also has experience working with individuals, businesses, charitable organizations, and pension and profit-sharing plans. Tracey is committed to providing clients with personalized financial advice and guidance.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
AZ
05/15/2024 - Present
Principal Securities, Inc. (QUEEN CREEK AZ)
AZ
02/10/2022 - 01/10/2024
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
AZ
08/08/2007 - 12/31/2021
CHARLES SCHWAB & CO., INC. (Phoenix AZ)
AZ
11/03/2006 - 06/06/2007
CHASE INVESTMENT SERVICES CORP. (SUN LAKES AZ)
TX
01/18/1996 - 07/21/2003
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
02/14/1995 - 11/28/1995
SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 11/06/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/21/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/10/2008
Series 24 - General Securities Principal Examination
BC
Issued 08/27/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/27/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/31/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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