Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Ann Fakes is a financial professional with Northwestern Mutual Investment Services, LLC. Tracy Ann is a registered representative and investment advisor representative. Tracy Ann's office is located in MILWAUKEE, WI. Tracy Ann has been a licensed financial professional since June 2020. Tracy Ann is a registered representative in Wisconsin. Tracy Ann Fakes's professional designations include Series 63, Series 7TO and SIE.
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.
Investment research; referrals to other advisers
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.
Referral fees
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WI
06/02/2020 - Present
Northwestern Mutual Investment Services, LLC (MILWAUKEE WI)
BC
Issued 06/18/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/2024
Series 7TO - General Securities Representative Examination
BC
Issued 06/02/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 02/13/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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