Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Lynn Maltby is an investment advisor representative with Wells Fargo Clearing Services, LLC and is based in Vancouver, WA. Tracy has been in the industry since July 25, 1997 and has been with Wells Fargo Clearing Services, LLC since July 2014. Tracy is registered with the state of Oregon, Texas and Washington. Tracy holds the Series 6, Series 7 and Series 63 securities licenses. Tracy is also a registered investment advisor in Oregon, Texas and Washington.
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
WA
09/23/2015 - Present
Wells Fargo Clearing Services, LLC (VANCOUVER WA)
OR
11/02/1998 - 08/08/2014
RBC CAPITAL MARKETS, LLC (PORTLAND OR)
MN
09/03/1997 - 10/29/1998
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
07/23/1997 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
IA
Issued 08/07/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2002
Series 7 - General Securities Representative Examination
BC
Issued 07/22/1997
Series 6 - Investment Company Products/Variable Contracts 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
Not sure Tracy Maltby is the right advisor for you? Invested Better is here to help.
