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JAMES JOSEPH TRACY
CRD#: 1005601
IA
B
MORGAN STANLEYCRD#: 149777 545 Metro Place South
Suite 300
Dublin, OH 43017
Suite 300
Dublin, OH 43017
0
Disclosures
43
Years of Experience
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State Registrations
B
Ohio 6/1/2009
IA
Ohio 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/14/1994 - 06/01/2009 | SAGINAW, MI | |
B | 07/31/1993 - 06/01/2009 | SAGINAW, MI | |
B | 03/18/1988 - 07/31/1993 | NEW YORK, NY | |
B | 10/20/1983 - 03/29/1988 | ||
B | 08/28/1981 - 08/19/1983 | ||
B | 08/28/1981 - 08/19/1983 | ||
B | 08/28/1981 - 08/19/1983 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.