Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Flinton is a financial advisor with UBS Financial Services Inc. Tracy has been in the financial services industry since March 20, 1989, and has been registered with UBS Financial Services Inc. since November 2003. Tracy is licensed in Oklahoma and Texas. Tracy also has experience with Wachovia Securities, LLC, Prudential Securities Incorporated, Paine Webber Incorporated, Smith Barney Inc. and Lehman Brothers Inc. Tracy has a Series 7, Series 63, and Series 65.
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
OK
11/24/2003 - Present
UBS Financial Services Inc. (OKLAHOMA CITY OK)
MO
07/01/2003 - 12/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/18/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
03/02/1995 - 01/28/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/31/1993 - 03/14/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
03/21/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/05/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1989
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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