Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Baker is a financial advisor registered with Cadaret, Grant & CO., Inc. Tracy has been in the financial services industry since 2013. Tracy holds the following licenses: Series 6, Series 7TO, Series 63, Series 24, Series 51 and Series 65. Tracy is licensed in New York. Tracy has worked for several firms, including LPL Financial LLC, ESL Investment Services, LLC, and Cadaret, Grant & CO., Inc. Tracy is currently employed at Cadaret, Grant & CO., Inc. in Webster, NY.
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.
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.
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2
NY
07/24/2024 - Present
Cadaret, Grant & CO., Inc. (WEBSTER NY)
NY
07/11/2022 - 07/18/2023
LPL FINANCIAL LLC (ROCHESTER NY)
NY
07/19/2022 - 07/14/2023
ESL INVESTMENT SERVICES, LLC (ROCHESTER NY)
NY
11/24/2014 - 07/11/2022
CADARET, GRANT & CO., INC. (Victor NY)
NY
12/01/2011 - 01/11/2012
CHASE INVESTMENT SERVICES CORP. (ROCHESTER NY)
NY
11/29/2010 - 08/11/2011
METLIFE SECURITIES INC. (ROCHESTER NY)
NY
12/16/2009 - 11/30/2010
CHASE INVESTMENT SERVICES CORP. (MACEDON NY)
IA
Issued 07/10/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/17/2022
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 10/13/2022
Series 24 - General Securities Principal Examination
BC
Issued 08/22/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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