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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Lynn Johns is a financial advisor with Wells Fargo Clearing Services, LLC in Bloomington, Minnesota. Tracy has been in the industry since 1997. Tracy has a wide range of experience in the financial services industry, having worked for a number of firms, including Morgan Stanley DW Inc., American Express Financial Advisors Inc. and IDS Life Insurance Company. Tracy is registered with FINRA and holds the Series 7, 9, 10, 24, 63, and 66 licenses. Tracy is also a Certified Financial Planner. Tracy is committed to providing clients with personalized financial advice and 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.
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
MN
05/21/2014 - Present
Wells Fargo Clearing Services, LLC (BLOOMINGTON MN)
MN
05/28/2003 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAINT PAUL MN)
NY
12/07/1999 - 05/19/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
MN
07/27/1999 - 12/13/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/27/1999 - 12/13/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
02/24/1997 - 04/28/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 05/23/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2008
Series 24 - General Securities Principal Examination
BC
Issued 12/10/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1997
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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