Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Schusterman is a financial advisor at Janney Montgomery Scott LLC, based in NEW YORK, NY. Tracey has been working in the financial services industry since 1986. The advisor has a wide range of experience and holds both Series 7 and Series 63 licenses, as well as the Series 9, Series 10, and Series 65 licenses. Tracey has also earned the Certified Financial Planner designation. Prior to joining Janney Montgomery Scott LLC, Tracey was a financial advisor at RBC Capital Markets, LLC and UBS Financial Services Inc.
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.
Fee plus commission
1
2
NY
09/29/2017 - Present
Janney Montgomery Scott LLC (NEW YORK NY)
NY
04/21/2017 - 09/05/2017
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
NY
01/16/2009 - 05/02/2017
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
01/14/2005 - 02/05/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CT
01/24/1997 - 02/11/2005
ADVEST, INC. (HARTFORD CT)
NJ
04/28/1993 - 02/03/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/01/1991 - 04/20/1993
FIRST ALBANY CORPORATION (NEW YORK NY)
NA
01/18/1990 - 05/01/1991
JESUP, JOSEPHTHAL SECURITIES CO., INC.
NA
01/02/1990 - 01/27/1990
HANIFEN, IMHOFF SECURITIES CORP.
NA
11/12/1986 - 01/02/1990
MOORE & SCHLEY, CAMERON & CO.
NA
12/17/1985 - 11/04/1986
MCLAUGHLIN, PIVEN, VOGEL INC.
IA
Issued 09/20/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/29/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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