Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Annette Holt is a financial advisor based in DALLAS, TX and has been in the industry since November 6, 1999. Tracy is registered with RBC Capital Markets, LLC and previously worked with WELLS FARGO CLEARING SERVICES, LLC, CITIGROUP GLOBAL MARKETS INC., BANC ONE SECURITIES CORPORATION, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and MERRILL LYNCH FUNDS DISTRIBUTOR, INC. Tracy has Series 3, 7, 9, 10, 63, and 65 licenses. Tracy's specializations include private funds, hedge funds, derivatives, options, structured products and fixed income.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
08/31/2017 - Present
RBC Capital Markets, LLC (DALLAS TX)
TX
01/01/2007 - 07/31/2017
WELLS FARGO CLEARING SERVICES, LLC (DALLAS TX)
NY
05/27/2004 - 01/13/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IL
07/08/2003 - 05/20/2004
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
05/20/1998 - 06/10/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/15/1997 - 03/15/1998
MERRILL LYNCH FUNDS DISTRIBUTOR, INC. (NEW YORK NY)
IA
Issued 09/08/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/21/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/2010
Series 3 - National Commodity Futures Examination
BC
Issued 09/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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