Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Alm is an investment professional with over 23 years of experience in the financial services industry. Tracy is currently registered with Raymond James & Associates, Inc. in Florida and Texas. Tracy is a Certified Financial Planner and provides financial planning services, portfolio management for individuals and businesses, as well as selection of other advisors.
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
FL
02/13/2023 - Present
Raymond James & Associates, Inc. (CRYSTAL RIVER FL)
IA
Issued 12/15/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 08/30/2002
Series 24 - General Securities Principal Examination
BC
Issued 02/01/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/04/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 09/14/1999
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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