Unclaimed
Tracy Ann Leader is an active investment advisor representative with Charles Schwab & Co., Inc.. Tracy has been in the industry for over 20 years and holds a Series 63 and Series 66 license. Tracy is also a registered principal with the firm. Previously, Tracy was associated with TD Ameritrade, Inc. and Scottrade, Inc..
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
MO
09/30/2022 - Present
Charles Schwab & CO., Inc. (St Louis MO)
MO
02/26/2018 - 10/24/2022
TD AMERITRADE, INC. (ST. LOUIS MO)
MO
02/18/2015 - 02/26/2018
SCOTTRADE, INC. (ST. LOUIS MO)
MO
07/15/2003 - 11/05/2014
EDWARD JONES (ST LOUIS MO)
BOTH
Issued 01/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/06/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/22/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/07/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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