Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy A. Pulvers is a financial advisor with J.P. Morgan Securities LLC. Tracy has over 30 years of experience in the financial services industry, starting with Goldman, Sachs & Co. in 1965. Tracy has been registered with FINRA since 1983 and is currently registered in 52 states and the District of Columbia. Tracy offers a wide range of financial services to individuals, businesses, and institutions.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
CA
11/04/2021 - Present
J.p. Morgan Securities LLC (LOS ANGELES CA)
CA
05/06/2010 - 11/18/2021
RBC CAPITAL MARKETS, LLC (CENTURY CITY CA)
CA
06/01/2009 - 05/19/2010
MORGAN STANLEY SMITH BARNEY (LOS ANGELES CA)
CA
04/28/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
01/17/2003 - 05/01/2003
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
12/18/1989 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
01/03/1983 - 04/29/1989
MORGAN STANLEY & CO., INCORPORATED
NA
05/19/1978 - 01/18/1983
KIDDER, PEABODY & CO. INCORPORATED
NA
04/03/1975 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
NA
09/12/1972 - 04/26/1975
SHIELDS MODEL ROLAND INCORPORATED
NA
10/27/1965 - 10/07/1972
GOLDMAN, SACHS & CO.
BOTH
Issued 01/08/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/13/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/1984
Series 4 - Registered Options Principal Examination
BC
Issued 06/11/1973
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/22/1987
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 10/25/1965
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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