Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Janis is a financial advisor who has been in the industry since 1996. Tracy is currently registered with Wells Fargo Clearing Services, LLC and has held previous positions with Wells Fargo Investments, LLC, Wachovia Securities, LLC, Dean Witter Reynolds Inc., and Key Investments Inc. Tracy specializes in providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions. Tracy Janis is committed to helping clients achieve their financial goals.
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
ID
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (BOISE ID)
ID
03/04/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BOISE ID)
ID
01/02/2001 - 03/27/2008
WACHOVIA SECURITIES, LLC (BOISE ID)
NY
11/02/1998 - 01/22/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
OH
12/22/1995 - 10/20/1998
KEY INVESTMENTS INC. (CLEVELAND OH)
IA
Issued 05/03/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/18/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 06/28/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/1995
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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