Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Wei Joseph is an active financial advisor, currently registered in California and New York. Tracy holds a Series 7, Series 63, Series 82TO and SIE. Tracy works at Innovation Partners LLC, a financial firm that is a registered broker-dealer and investment advisor. Tracy has been in the financial industry since 2005. Tracy has experience working with various financial institutions, including Goldman, Sachs & Co. and SunTrust Capital Markets, Inc. Tracy is an experienced and knowledgeable financial advisor.
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.
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.
Consulting services to qualified retirement plans
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.
Recurring fee
1
2
NC
02/03/2022 - Present
Innovation Partners LLC (CHARLOTTE NC)
NY
09/11/2012 - 11/11/2014
SDDCO BROKERAGE ADVISORS LLC (NEW YORK NY)
NY
10/03/2008 - 02/21/2012
INVESCO DISTRIBUTORS, INC. (NEW YORK NY)
NY
07/10/2006 - 06/12/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
GA
12/13/2005 - 04/20/2006
SUNTRUST CAPITAL MARKETS, INC. (ATLANTA GA)
BC
Issued 02/17/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/03/2022
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 11/17/2021
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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