Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Gangone is a financial advisor with Robert W. Baird & Co. Inc. Tracy has been in the industry since 2000. Tracy is registered to provide investment advisory services in Tennessee. Tracy also holds Series 3, 7, 9, 10, 63 and 65 licenses. Tracy specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, investment companies and pooled investment vehicles.
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.
See schedule d
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.
Hard dollar payments for research
1
2
TN
10/18/2019 - Present
Robert W. Baird & Co. Inc. (Knoxville TN)
TN
09/23/2014 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (KNOXVILLE TN)
TN
06/25/2013 - 11/14/2013
G.F. INVESTMENT SERVICES, LLC (KNOXVILLE TN)
TN
08/29/2005 - 04/16/2013
AMERIPRISE FINANCIAL SERVICES, INC. (KNOXVILLE TN)
MO
07/01/2003 - 06/07/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/14/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/20/1999 - 09/26/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/10/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/27/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2003
Series 3 - National Commodity Futures Examination
BC
Issued 07/19/1999
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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