Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Giffen is a financial advisor currently affiliated with First Trust Portfolios LP. Tracy's career in the financial services industry began on September 4, 1988. Tracy is licensed to sell securities in 18 states.
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.
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.
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2
IL
06/06/2012 - Present
First Trust Portfolios LP (WHEATON IL)
MA
03/15/2010 - 12/31/2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)
PA
08/07/2007 - 01/30/2009
DIRECTED SERVICES LLC (WEST CHESTER PA)
MN
01/18/2005 - 05/11/2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)
MA
12/20/1999 - 01/03/2005
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
IL
10/02/1996 - 12/13/1999
KEMPER DISTRIBUTORS, INC. (CHICAGO IL)
NE
10/29/1993 - 09/04/1996
LAUGHLIN GROUP ADVISORS, INC. (LINCOLN NE)
IL
01/27/1993 - 11/09/1993
ABN AMRO INVESTMENT SERVICES, INC. (CHICAGO IL)
VA
08/07/1992 - 01/26/1993
GNA SECURITIES, INC. (GLEN ALLEN VA)
NJ
08/19/1986 - 06/18/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 11/25/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/18/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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