Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Shannon has been a registered investment advisor since 1989. Tracy is currently registered with Allstate Financial Advisors, LLC and has previously been registered with a number of other firms including Brokers International Financial Services, LLC., Next Financial Group, Inc., Mutual Service Corporation, and Pruco Securities, LLC. Tracy's areas of specialization include providing financial planning services to individuals and families.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Third party advisory fees
1
2
CA
08/07/2018 - Present
Allstate Financial Advisors, LLC (Rolling Hills Estate CA)
CA
03/08/2016 - 07/30/2018
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (Beverly Hills CA)
CA
07/24/2008 - 03/09/2016
NEXT FINANCIAL GROUP, INC. (San Deigo CA)
CA
01/25/2005 - 07/23/2008
MUTUAL SERVICE CORPORATION (IRVINE CA)
NJ
05/12/2003 - 11/30/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
SC
10/09/1998 - 05/20/2003
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CA
01/06/1997 - 10/01/1998
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CT
08/12/1993 - 12/31/1996
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
NA
06/20/1991 - 07/26/1993
LFG SECURITIES, INC.
CA
07/30/1990 - 05/03/1991
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NA
08/30/1988 - 08/02/1990
PAMCO SECURITIES AND INSURANCE SERVICES
NA
09/12/1988 - 07/24/1990
GAF FINANCIAL AND INSURANCE SERVICES
IA
Issued 06/27/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/1998
Series 7 - General Securities Representative Examination
BC
Issued 08/25/1995
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 08/26/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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