Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Tsai is a financial professional with over 17 years of experience in the industry. Tracy is currently registered with Prudential Investment Management Services LLC and holds the Series 7, Series 63, Series 86, and Series 87 securities licenses. Prior to joining Prudential Investment Management Services LLC, Tracy was employed by AllianceBernstein Investments, Inc. and Citigroup Global Markets 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.
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.
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NY
02/23/2021 - Present
Prudential Investment Management Services LLC (NEW YORK NY)
TN
11/09/2010 - 07/16/2020
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NASHVILLE TN)
NY
11/04/2003 - 09/09/2010
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 09/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 02/01/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/03/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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