Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Johnston is a financial advisor with Stifel, Nicolaus & Company, Inc., with over 17 years of experience in the financial services industry. Tracy is a CERTIFIED FINANCIAL PLANNER™ professional, and holds Series 7, 9, 10, 66 securities licenses. Tracy's previous experience includes working at Wells Fargo Clearing Services, LLC and Morgan Stanley. Tracy's office is located in Bethel Park, PA.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
PA
08/28/2019 - Present
Stifel, Nicolaus & Company, Inc. (BETHEL PARK PA)
PA
03/01/2013 - 06/27/2019
WELLS FARGO CLEARING SERVICES, LLC (PITTSBURGH PA)
PA
06/01/2009 - 04/02/2013
MORGAN STANLEY (PITTSBURGH PA)
DE
06/07/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WILMINGTON DE)
BOTH
Issued 12/12/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/21/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2006
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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