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Detailed Report
MICHAEL PATRICK TRACY
MICHAEL P TRACY
CRD#: 1805024
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Investment Adviser
PRINCIPIUM INVESTMENTS LLCCRD#: 124989 BOULDER, CO
Registration History
2002200420062008201020122014201620182020202220242026IAPRINCIPIUM INVESTMENTS LLC (CRD# 124989)2008 - Present (16 years)IASARASOTA ASSET MANAGEMENT, INC. (CRD# 124689)2003 - 2008 (5 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2002 - 2003 (1 year)
License(s)

State Registrations

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Colorado 5/12/2008
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Minnesota 8/4/2015
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Florida 1/12/2009
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Texas 5/12/2008
Current Registration(s)
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PRINCIPIUM INVESTMENTS LLC (CRD#:124989)
BOULDER, CO
Registered with this firm since 5/12/2008
Previous Registration(s)
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 03/18/2003 - 12/10/2008 SARASOTA ASSET MANAGEMENT, INC. (CRD#:124689) WINTER PARK, FL
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 06/06/2002 - 10/15/2003 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) SARASOTA, FL
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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.
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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.