Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy McMahon is an investment advisor representative for Raymond James & Associates, Inc., based in Portland, Maine. Tracy is a highly experienced financial professional with more than two decades of experience serving individuals and families in the industry. Tracy offers a variety of investment advisory services, including financial planning, portfolio management, and education seminars. With a focus on personalized service and a commitment to client success, Tracy McMahon is dedicated to helping clients achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
ME
08/21/2019 - Present
Raymond James & Associates, Inc. (Portland ME)
ME
11/04/2009 - 04/06/2018
WELLS FARGO CLEARING SERVICES, LLC (PORTLAND ME)
ME
06/01/2009 - 11/05/2009
MORGAN STANLEY SMITH BARNEY (PORTLAND ME)
ME
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PORTLAND ME)
ME
07/23/2001 - 04/02/2007
MORGAN STANLEY DW INC. (PORTLAND ME)
NJ
08/26/1997 - 02/25/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CT
04/26/1996 - 11/27/1996
ADVEST, INC. (HARTFORD CT)
NJ
01/28/1995 - 04/16/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
02/12/1993 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 10/09/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 04/06/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/11/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 02/09/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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