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Tracy Neal Adams

Osaic Institutions, Inc.

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About Tracy Neal Adams

Tracy Adams is a financial advisor with over 20 years of experience in the industry. Tracy has a strong background in securities, with experience at various firms, including LPL Financial LLC, Cetera Advisor Networks LLC and UBS Financial Services Inc. Tracy is registered with Osaic Institutions, Inc. in Michigan and Florida. Tracy specializes in providing financial planning, portfolio management for individuals, and pension consulting.

Firm Information

Tracy Adams is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Tracy Adams’s Registration & Firm History

MI

10/23/2020 - Present

Osaic Institutions, Inc. (Muskegon MI)

MI

12/05/2018 - 10/22/2020

LPL FINANCIAL LLC (MUSKEGON MI)

MI

11/04/2016 - 12/05/2018

CETERA ADVISOR NETWORKS LLC (MUSKEGON MI)

MI

04/04/2007 - 11/07/2016

INVESTACORP, INC. (MUSKEGON MI)

MI

01/07/2005 - 03/29/2007

THE HUNTINGTON INVESTMENT COMPANY (MUSKEGON MI)

NY

01/07/2004 - 12/08/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

08/07/2001 - 11/26/2003

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

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Licenses & Designations

BOTH

Issued 09/28/2010

Series 66 - Uniform Combined 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 08/03/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Tracy Neal Adams. Review regulatory record here.
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