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Detailed Report
MICHAEL LOWERY TRACY
CRD#: 1682826
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 777 108TH AVE NE
STES 2400 & 2500
BELLEVUE, WA 98004
Registration History
199019952000200520102015202020252 FIRMS2015 - Present (10 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2007 - 2015 (7 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2007 (10 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1997 (5 years)BCITICORP FINANCIAL SERVICES,INC. (CRD# 14675)1987 - 1988 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - 2015 (3 years)
License(s)

State Registrations

B
Arizona 5/11/2016
B
New Jersey 1/2/2015
B
California 1/2/2015
B
New York 1/2/2015
B
District of Columbia 1/2/2015
B
Pennsylvania 1/2/2015
B
Florida 1/2/2015
B
Texas 7/26/2018
B
Georgia 1/2/2015
IA
Texas 7/27/2018
B
Maryland 1/2/2015
B
Washington 1/2/2015
B
Massachusetts 1/2/2015
IA
Washington 1/2/2015

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
777 108TH AVE NE STES 2400 & 2500, BELLEVUE, WA 98004
Registered with this firm since 1/2/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
777 108TH AVE NE STES 2400 & 2500, BELLEVUE, WA 98004
Registered with this firm since 1/2/2015
Previous Registration(s)
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IA
 10/24/2011 - 01/12/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
 11/02/2007 - 01/12/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEW YORK, NY
B
 11/26/1997 - 11/19/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 01/24/1992 - 12/09/1997 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 06/23/1987 - 07/28/1988 CITICORP FINANCIAL SERVICES,INC. (CRD#:14675)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.