Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Cottingham is a financial advisor with over 20 years of experience in the industry. Tracy is currently registered with Raymond James Financial Services Advisors, Inc. Tracy is also associated with Pinnacle Bank and Pinnacle Financial Partners, which are not investment related. Tracy is a licensed Investment Advisor Representative in both Texas and North Carolina. In addition, Tracy holds licenses for Series 65, Series 66, Series 7 and SIE exams. Prior to Raymond James Financial Services Advisors, Inc. Tracy worked for both Wells Fargo Clearing Services, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tracy holds a Series 7 license since 1999.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NC
12/01/2020 - Present
Raymond James Financial Services Advisors, Inc. (Greensboro NC)
NC
03/23/2007 - 12/08/2020
WELLS FARGO CLEARING SERVICES, LLC (GREENSBORO NC)
NC
04/05/1999 - 03/29/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENSBORO NC)
IA
Issued 7/2/2002
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 4/27/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/1/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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