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 Woodin has been in the financial services industry since September 2, 1999. Tracy is currently registered with Morgan Stanley, based in Sarasota, Florida. Tracy has previously been employed with a number of firms including Citigroup Global Markets Inc., RBC Dain Rauscher Inc., Prudential Securities Incorporated, and Salomon Smith Barney Inc. Tracy is licensed to provide investment advisory services in Florida and Georgia and holds Series 7, 63, 65 and SIE securities licenses. Tracy specializes in working with a wide range of clients including high net worth individuals, corporations, insurance companies, and charitable organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
06/01/2009 - Present
Morgan Stanley (Sarasota FL)
NY
01/13/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/13/2003 - 04/26/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
10/11/2000 - 01/15/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/11/1998 - 10/05/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 01/28/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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