Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Pawlak is a financial professional with over 35 years of experience in the industry. Tracy is currently registered with Northern Trust Securities, Inc. and has been registered with the firm since 1990. Tracy specializes in providing investment advice to high net worth individuals, corporations and other businesses, charitable organizations, and pooled investment vehicles. Tracy holds the Series 7, 55, 52TO, and 57TO securities licenses, as well as the Series 63 state license and the SIE exam. Tracy is registered to conduct business in all 50 states, Washington, D.C., Puerto Rico, and the Virgin Islands. Tracy was previously registered with Prudential-Bache Securities Inc., Drexel Burnham Lambert Incorporated, and ISFA Corporation.
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.
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
IL
10/17/1990 - Present
Northern Trust Securities, Inc. (CHICAGO IL)
NY
05/26/1989 - 10/22/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
09/25/1987 - 06/20/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
08/20/1986 - 06/23/1987
ISFA CORPORATION
BC
Issued 05/23/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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