Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Guo Aiken has been in the financial services industry since 2000 and is currently registered with LPL Financial LLC as a Registered Representative. Tracy has a wide range of experience in the financial services industry, having previously worked for UBS Services USA LLC, TD Waterhouse Investor Services, Inc., and PRUCO Securities Corporation. Tracy is licensed to conduct business in 53 states and is a Registered Investment Advisor in Texas and South Carolina. Tracy is also a Series 7, 6, 63, 65, and 66 licensed representative. Tracy has a deep understanding of the financial markets and is committed to providing her clients with personalized financial advice.
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.
1
2
SC
06/18/2019 - Present
LPL Financial LLC (FORT MILL SC)
NJ
08/29/2006 - 08/14/2008
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NJ
06/01/2000 - 03/29/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (JERSEY CITY NJ)
NJ
06/22/1998 - 05/02/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 12/31/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2020
Series 4 - Registered Options Principal Examination
BC
Issued 10/30/2018
Series 24 - General Securities Principal Examination
BC
Issued 09/20/2019
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2018
Series 7 - General Securities Representative Examination
BC
Issued 06/19/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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