Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracie? Claim Your ProfileTracie Legg is a financial advisor with over 20 years of experience in the industry. Tracie is currently registered with Robert W. Baird & Co. Inc. as a Registered Representative and Investment Advisor Representative. Previously, Tracie was registered with Morgan Stanley, UBS Financial Services Inc., Wachovia Securities, LLC and Wheat, First Securities, Inc. Tracie specializes in providing financial advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. Tracie holds several industry licenses and designations, including the Series 7, 63, 65, 9, 10, and 31. Tracie is committed to providing her clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
See schedule d
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.
Hard dollar payments for research
1
2
SC
10/27/2017 - Present
Robert W. Baird & Co. Inc. (Charleston SC)
NC
06/01/2009 - 10/30/2017
MORGAN STANLEY (CHAPEL HILL NC)
NC
01/16/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RALEIGH NC)
NC
08/06/2004 - 01/27/2009
UBS FINANCIAL SERVICES INC. (CHAPEL HILL NC)
MO
06/15/2002 - 08/12/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
10/10/1996 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
05/08/1996 - 10/01/1996
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 08/12/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 05/07/1996
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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