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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 Nolen is a financial advisor with over 20 years of experience in the financial services industry. Tracy is currently registered with Morgan Stanley, where she provides financial advice to a diverse range of clients. Tracy's previous experience includes roles at Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, SunTrust Securities, Inc., and LM Financial Partners, Inc. Tracy holds a variety of licenses and certifications including Series 7, Series 24, Series 63, and Series 65. She is also registered with the states of New Jersey and Texas.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NJ
01/07/2021 - Present
Morgan Stanley (Red Bank NJ)
NJ
02/21/2006 - 11/11/2009
CITIGROUP GLOBAL MARKETS INC. (RED BANK NJ)
MD
02/23/2005 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
GA
10/09/2002 - 01/27/2005
SUNTRUST SECURITIES, INC. (ATLANTA GA)
LA
05/09/2001 - 10/08/2002
LM FINANCIAL PARTNERS, INC. (NEW ORLEANS LA)
MD
09/26/2000 - 05/07/2001
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
IA
Issued 10/23/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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