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Tracy A Hartzell

Stifel, Nicolaus & Company, Inc.

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About Tracy A Hartzell

Tracy Hartzell is a financial professional with Stifel, Nicolaus & Company, Inc. in MEMPHIS, Tennessee. Tracy has been in the industry since 2017 and is licensed to sell securities in Tennessee. Tracy has passed the Series 7TO, Series 99, and Series 63 exams, as well as the SIE Exam.

Firm Information

Tracy Hartzell is currently registered with Stifel, Nicolaus & Company, Inc.. Stifel, Nicolaus & Company, Inc. is a corporation headquartered in ST LOUIS, MO, United States. Founded in 1900, the firm provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, and pooled investment vehicles. With over 5,000 registered representatives and $149.2 billion in regulatory assets under management, the firm serves a wide range of clients including high-net-worth individuals, corporations, and institutional investors.
Stifel, Nicolaus & Company, Inc.

501 N BROADWAY

ST LOUIS, MO 63102

$149.25B

Assets Under Management

Not reported

Total Clients

4,272

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Tracy Hartzell’s Registration & Firm History

TN

04/22/2022 - Present

Stifel, Nicolaus & Company, Inc. (MEMPHIS TN)

TN

10/23/2017 - 09/27/2023

VINING-SPARKS IBG, LLC (MEMPHIS TN)

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Licenses & Designations

BC

Issued 12/08/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/06/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/23/2017

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Tracy A Hartzell.
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