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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 Williams is an investment advisor with LPL Financial LLC, located in FORT MILL, SC. Tracy has been in the financial services industry since 2002. Tracy holds multiple licenses and certifications, including Series 7, 63, 66, 24, 4, 9, 10, 52 and 53. Tracy has worked for several prominent financial institutions, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., MSI FINANCIAL SERVICES, INC., MML INVESTORS SERVICES, LLC, and VOYA FINANCIAL ADVISORS, INC.
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.
Consulting and other non-discretionary advisory services
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.
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2
SC
05/30/2024 - Present
LPL Financial LLC (FORT MILL SC)
CT
08/30/2023 - 05/06/2024
VOYA FINANCIAL ADVISORS, INC. (Windsor CT)
SC
10/14/2022 - 05/10/2023
LPL FINANCIAL LLC (FORT MILL SC)
MA
03/25/2017 - 09/08/2022
MML INVESTORS SERVICES, LLC (SPRINGFIELD MA)
NC
02/28/2014 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (CHARLOTTE NC)
NC
10/23/2009 - 02/03/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
10/31/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 07/02/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/30/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/09/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/20/2007
Series 4 - Registered Options Principal Examination
BC
Issued 11/07/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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