Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Pier Dausin is an active registered representative and investment advisor representative with Citigroup Global Markets Inc. Tracey has been in the industry since 1995 and has experience with a variety of firms, including PRUCO Securities Corporation and PFS Investments Inc. Tracey holds several licenses and certifications, including Series 7, 6, 63, 65, 9, 10, and 24. Tracey is also registered with the states of Texas, Illinois, and South Dakota. Tracey specializes in providing financial planning and investment advice to individuals, corporations, and charitable organizations.
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.
Asset allocation advice
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.
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2
TX
05/29/2007 - Present
Citigroup Global Markets Inc. (San Antonio TX)
TX
08/06/1997 - 05/29/2007
CITICORP INVESTMENT SERVICES (SAN ANTONIO TX)
NJ
04/26/1995 - 07/07/1997
PRUCO SECURITIES CORPORATION (NEWARK NJ)
GA
09/22/1994 - 12/31/1994
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 03/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/2015
Series 24 - General Securities Principal Examination
BC
Issued 04/26/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/25/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/21/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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