Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Peatling is a financial advisor with over 8 years of experience in the financial services industry. Tracy is currently registered with Ameriprise Financial Services, LLC in Irvine, California. Previously, Tracy was associated with Parkland Securities, LLC in Los Alamitos, California. Tracy holds Series 6, 7, 63, and 66 securities licenses, and the SIE exam. Tracy specializes in a variety of areas, including retirement planning, investment management, and insurance.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
CA
12/08/2020 - Present
Ameriprise Financial Services, LLC (Irvine CA)
CA
12/18/2019 - 11/06/2020
AMERIPRISE FINANCIAL SERVICES, LLC (LOS ALAMITOS CA)
CA
02/01/2016 - 12/19/2019
PARKLAND SECURITIES, LLC (LOS ALAMITOS CA)
BOTH
Issued 04/23/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/29/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/2017
Series 7 - General Securities Representative Examination
BC
Issued 02/01/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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