Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy William Peters is a registered representative with Lument Securities, LLC. Tracy has been in the securities industry since 1993. Tracy is licensed in Ohio. Tracy holds the Series 7, Series 24, and Series 53 licenses as well as the SIE exam. Previously, Tracy was registered with BANC ONE CAPITAL MARKETS, INC. in Columbus, Ohio and Chicago, Illinois.
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.
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.
1
2
OH
10/02/2000 - Present
Lument Securities, LLC (COLUMBUS OH)
IL
04/01/1999 - 10/02/2000
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
OH
10/07/1993 - 04/01/1999
BANC ONE CAPITAL MARKETS, INC. (COLUMBUS OH)
BC
Issued 10/05/2020
Series 24 - General Securities Principal Examination
BC
Issued 11/07/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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