Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Riddle is an investment advisor representative associated with Wells Fargo Clearing Services, LLC, based in Newport Beach, CA. Tracy is registered with the state of California for both Broker-Dealer and Investment Adviser activities, and holds Series 7, Series 63, Series 65 and SIE licenses. Tracy has been in the financial industry since October 1991, and previously worked for Prudential Securities Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tracy is a licensed advisor for several states including California, Texas, Florida, New York, Illinois, Oregon, Arizona, Michigan, Colorado, and more. Tracy is an active investment advisor representative and has been with Wells Fargo Clearing Services, LLC since November 2016.
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.
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.
Investment consulting services to institutional clients
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
CA
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
NY
09/28/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/10/1991 - 10/26/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/06/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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