Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Traci? Claim Your ProfileTraci Roberts has been in the financial services industry since 1993. Traci is a registered Investment Advisor Representative with Edelman Financial Engines. Prior to joining Edelman Financial Engines in 2013, Traci worked as a Financial Advisor for Sander Morris Harris LLC. Traci holds the Series 3, 4, 7, 9, 10, 24, 53, 63, and 65 licenses, and the SIE designation. Traci has a strong commitment to providing her clients with the highest level of service and expertise.
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.
A percentage of the total value of assets under management is charged.
Set-up fees & related svcs; reimbursements for printed materials
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2
VA
11/01/2018 - Present
Edelman Financial Engines (FAIRFAX VA)
VA
04/22/2016 - 10/15/2019
EF LEGACY SECURITIES, LLC (FAIRFAX VA)
VA
10/23/2013 - 04/22/2016
SANDERS MORRIS HARRIS LLC (FAIRFAX VA)
OH
01/02/2009 - 10/15/2013
OHIO NATIONAL EQUITIES, INC. (CINCINNATI OH)
OH
05/05/2005 - 10/15/2013
THE O.N. EQUITY SALES COMPANY (CINCINNATI OH)
MO
07/01/2003 - 04/27/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/17/2003 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
08/22/2000 - 01/08/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NY
10/26/1994 - 08/03/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
RI
11/01/1993 - 09/12/1994
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
Issued 05/27/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2010
Series 4 - Registered Options Principal Examination
BC
Issued 03/17/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/27/2005
Series 24 - General Securities Principal Examination
BC
Issued 11/01/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/2002
Series 3 - National Commodity Futures Examination
BC
Issued 10/29/1993
Series 7 - General Securities Representative Examination
Active
Inactive
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