Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Ham is a financial professional with over 35 years of experience in the financial services industry. Tracy is currently registered with Cetera Investment Advisers LLC and has previously worked with several other firms, including Royal Alliance Associates, Inc., FSC Securities Corporation, and Paine Webber Incorporated. Tracy is dedicated to providing personalized financial guidance to clients, helping them achieve their financial goals.
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.
A percentage of the total value of assets under management is charged.
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2
CA
03/21/2024 - Present
Cetera Investment Advisers LLC (TEMECULA CA)
AZ
02/24/1998 - 07/27/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
GA
08/16/1995 - 03/10/1998
FSC SECURITIES CORPORATION (ATLANTA GA)
CA
03/31/1990 - 08/16/1995
CORPORATE BENEFIT SECURITIES, INC. (MISSION VIEJO CA)
CA
03/10/1988 - 04/16/1990
PLANNER'S INDEPENDENT MANAGEMENT, INC. (SAN MARCOS CA)
NA
10/12/1987 - 04/13/1988
GRANITE CAPITAL
NA
01/21/1986 - 03/07/1987
PAINEWEBBER INCORPORATED
IA
Issued 01/26/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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