Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Goeken Baker is an investment advisor representative with over 30 years of experience in the financial services industry. Tracy currently works at Robert W. Baird & Co. Inc., where they have been employed since 2014. Prior to joining Robert W. Baird & Co. Inc., Tracy worked for MCADAMS WRIGHT RAGEN, INC. Tracy holds the Series 7, Series 63, and Series 66 licenses. They are registered in several states including Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Michigan, Minnesota, New Mexico, New York, Oregon, Utah, Washington, Wisconsin, and Wyoming. Tracy is also registered as an Investment Advisor Representative in Florida and Washington. Tracy is a dedicated professional with a commitment to helping clients 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.
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
WA
06/11/2018 - Present
Robert W. Baird & Co. Inc. (Seattle WA)
WA
11/05/2010 - 11/07/2014
MCADAMS WRIGHT RAGEN, INC. (SEATTLE WA)
WA
08/05/2002 - 11/15/2010
WELLS FARGO INVESTMENTS, LLC (BELLEVUE WA)
NY
08/13/1998 - 05/29/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
01/09/1995 - 08/27/1996
OPPENHEIMER & CO., INC. (NEW YORK NY)
NJ
05/18/1993 - 12/09/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/23/1990 - 04/29/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
FL
08/31/1989 - 07/09/1990
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
CA
12/20/1988 - 07/24/1989
RAGEN MACKENZIE INCORPORATED (SAN FRANCISCO CA)
BOTH
Issued 06/08/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1988
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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