Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Lyn Spivey is a financial advisor with Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC, located in St. Louis, Missouri. Tracy has been in the financial industry since 2002 and holds a Series 7, Series 9, Series 10, Series 24, Series 63, Series 99TO and SIE license. Tracy is a Registered Principal in the state of Missouri. Tracy specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
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
MO
07/19/2013 - Present
Wells Fargo Advisors Financial Network, LLC (ST. LOUIS MO)
MO
06/05/2002 - 07/07/2011
EDWARD JONES (ST LOUIS MO)
BC
Issued 01/28/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/24/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/20/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2002
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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