Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Gates is a financial advisor at Robert W. Baird & Co. Inc. with over 14 years of experience in the financial services industry. Tracy holds a Series 7, Series 6, Series 63 and Series 65 license, and has specialized experience in investment company products, variable contracts, and portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. Prior to joining Robert W. Baird & Co. Inc. in 2018, Tracy was a financial advisor at INVEST Financial Corporation and BMO Harris Financial Advisors, Inc.. Tracy provides a wide range of financial services, including financial planning, portfolio management, and investment advisory services.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NC
02/28/2019 - Present
Robert W. Baird & Co. Inc. (Charlotte NC)
WI
03/10/2016 - 01/03/2018
INVEST FINANCIAL CORPORATION (RACINE WI)
WI
08/01/2012 - 03/10/2016
BMO HARRIS FINANCIAL ADVISORS, INC. (RACINE WI)
WI
07/26/2011 - 08/01/2012
M&I FINANCIAL ADVISORS, INC (KENOSHA WI)
WI
08/28/2008 - 07/20/2011
LPL FINANCIAL LLC (KENOSHA WI)
IA
Issued 02/27/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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