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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Jenee Dugan is an investment advisor representative associated with RBC Capital Markets, LLC, based in Conshohocken, Pennsylvania. Tracy Dugan has been in the securities industry for over 26 years, having joined RBC Capital Markets in 2005. Previously, Tracy Dugan was associated with Tucker Anthony Incorporated, Janney Montgomery Scott LLC, and Pennsylvania Merchant Group LTD. Tracy Dugan holds licenses for securities and investment advisory services in multiple states and has a broad range of certifications, including the Series 3, 7, 10, 24, 31, 63, and 65 exams. Tracy Dugan also has a Series SIE certification. Tracy Dugan specializes in portfolio management for individuals, businesses, and pooled investment vehicles.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
PA
02/11/2005 - Present
RBC Capital Markets, LLC (CONSHOHOCKEN PA)
MA
09/28/2000 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
PA
06/23/1997 - 09/27/2000
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NY
05/21/1996 - 06/27/1997
PENNSYLVANIA MERCHANT GROUP LTD. (NEW YORK NY)
IA
Issued 02/10/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/08/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/30/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2005
Series 3 - National Commodity Futures Examination
BC
Issued 10/28/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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