Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Traci? Claim Your ProfileTraci Lee Mitchell is a financial advisor at Morgan Stanley. Traci has been in the financial services industry since 1997 and has experience working at Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, Deutsche Bank Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, BT Alex. Brown Incorporated, and Alex. Brown & Sons Incorporated. Traci holds the Series 7, Series 31, Series 63, and Series 65 licenses. Traci is also a Certified Financial Planner.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MD
04/15/2020 - Present
Wealthpenn.comllc (Baltimore MD)
MD
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BALTIMORE MD)
MD
03/30/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
06/01/2004 - 04/06/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
10/29/1998 - 06/10/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MD
09/01/1997 - 10/05/1998
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
04/09/1997 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BC
Issued 9/27/2004
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 3/11/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/3/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 4/8/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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