Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Anton is a financial advisor currently working for UBS Financial Services Inc. Tracy has been working in the financial industry since June 2006 and has extensive experience in providing financial services. Tracy also has previous experience working for other financial institutions including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Concorde Investment Services, LLC, Securities America, Inc., PNC Investments, LPL Financial LLC, J.P. Morgan Securities LLC, Janney Montgomery Scott LLC and Walnut Street Securities, Inc. Tracy is registered with the state of Ohio as both an investment advisor and a broker.
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
NJ
12/18/2023 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
OH
05/01/2019 - 12/18/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PEPPER PIKE OH)
MI
09/28/2017 - 04/29/2019
CONCORDE INVESTMENT SERVICES, LLC (Livonia MI)
OH
08/19/2014 - 08/24/2017
SECURITIES AMERICA, INC. (Independence OH)
OH
02/25/2011 - 08/15/2014
PNC INVESTMENTS (CLEVELAND OH)
OH
10/27/2010 - 02/24/2011
LPL FINANCIAL LLC (SOLON OH)
OH
12/08/2009 - 09/10/2010
J.P. MORGAN SECURITIES LLC (CLEVELAND OH)
OH
09/29/2006 - 08/13/2008
JANNEY MONTGOMERY SCOTT LLC (CLEVELAND OH)
OH
11/19/2004 - 09/14/2006
WALNUT STREET SECURITIES, INC. (CLEVELAND OH)
IA
Issued 10/24/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/6/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/28/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/15/2014
Series 4 - Registered Options Principal Examination
BC
Issued 6/28/2010
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 3/31/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2004
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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