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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Ann Garrett is a financial advisor at UBS Financial Services Inc. Tracy is licensed to provide financial advice in 34 states. Tracy has been providing financial advice since May 22, 2000. Before joining UBS Financial Services Inc., Tracy worked at JANNEY MONTGOMERY SCOTT LLC and MIZUHO SECURITIES USA LLC. Tracy is also a registered investment advisor. Tracy has a wide range of experience in the financial services industry and is dedicated to helping clients 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.
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.
See schedule d - miscellaneous
1
2
GA
04/24/2019 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
01/16/2018 - 10/26/2018
JANNEY MONTGOMERY SCOTT LLC (ATLANTA GA)
GA
11/12/2014 - 09/14/2017
MIZUHO SECURITIES USA LLC (ATLANTA GA)
GA
08/17/2009 - 10/31/2014
NOMURA SECURITIES INTERNATIONAL, INC. (ATLANTA GA)
GA
12/08/2008 - 08/18/2009
FTN FINANCIAL SECURITIES CORP (ATLANTA GA)
GA
12/01/2000 - 12/03/2008
UBS SECURITIES LLC (ATLANTA GA)
NJ
12/17/1999 - 12/01/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 04/23/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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