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 Marshall is a financial advisor with Charles Schwab & Co., Inc. in Phoenix, Arizona. Tracy has been in the financial services industry since 1997. Tracy is a registered representative in Arizona and California. Prior to joining Charles Schwab & Co., Inc., Tracy worked at Northwestern Mutual Investment Services, LLC, Synergy Investment Group, LLC, Deutsche Banc Alex. Brown Inc., DB ALEX. BROWN LLC, Mesirow Financial, Inc., Credit Suisse First Boston Corporation, American Express Financial Advisors Inc. and IDS Life Insurance Company.
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
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2
AZ
09/15/2015 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
05/30/2003 - 08/26/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (PHOENIX AZ)
NC
08/27/2002 - 02/20/2003
SYNERGY INVESTMENT GROUP, LLC (CHARLOTTE NC)
NY
01/13/2001 - 12/20/2001
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
07/26/2000 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
IL
01/04/2000 - 07/13/2000
MESIROW FINANCIAL, INC. (CHICAGO IL)
NY
10/29/1997 - 01/19/2000
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
MN
09/23/1996 - 10/15/1997
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/23/1996 - 10/15/1997
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/20/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/13/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/11/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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