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DAVID FRANCIS TRACY
CRD#: 2185278
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR 39TH FL
CHICAGO, IL 60606
Registration History
19952000200520102015202020252 FIRMS2003 - 2016 (13 years)2 FIRMS2016 - Present (8 years)BDONALDSON, LUFKIN & JENRETTE S... (CRD# 7560)2001 - 2003 (1 year)BNEW ENGLAND SECURITIES (CRD# 615)1991 - 1994 (3 years)IADONALDSON LUFKIN & JENRETTE SE... (CRD# 7560)2002 - 2003 (<1 year)
License(s)

State Registrations

B
Alaska 3/31/2016

B
Mississippi 3/31/2016

B
Arizona 3/31/2016

B
Missouri 3/31/2016

B
Arkansas 1/31/2024

B
Nebraska 3/31/2016

B
California 3/31/2016

B
Nevada 1/7/2020

B
Colorado 3/31/2016

B
New Hampshire 1/21/2021

B
Connecticut 3/31/2016

B
New Jersey 3/31/2016

B
Delaware 3/31/2016

B
New Mexico 3/31/2016

B
District of Columbia 3/31/2016

B
New York 3/31/2016

B
Florida 3/31/2016

B
North Carolina 3/31/2016

B
Georgia 3/31/2016

B
Ohio 3/31/2016

B
Illinois 3/31/2016

B
Oklahoma 3/31/2016

IA
Illinois 3/31/2016

B
Oregon 3/31/2016

B
Indiana 3/31/2016

B
Pennsylvania 3/31/2016

B
Iowa 6/2/2020

B
South Carolina 3/31/2016

B
Kansas 3/31/2016

B
Tennessee 3/31/2016

B
Kentucky 3/31/2016

B
Texas 3/31/2016

B
Louisiana 3/31/2016

IA
Texas 3/31/2016

B
Maine 3/31/2016

B
Utah 3/31/2016

B
Maryland 3/31/2016

B
Vermont 7/27/2023

B
Massachusetts 3/31/2016

B
Virginia 3/31/2016

B
Michigan 3/31/2016

B
Washington 3/31/2016

IA
Michigan 10/19/2020

B
Wisconsin 3/31/2016

B
Minnesota 3/31/2016

B
Wyoming 3/31/2016

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American 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)
30 S WACKER DR 39TH FL, CHICAGO, IL 60606
Coloma, MI
Registered with this firm since 3/31/2016

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR 39TH FL, CHICAGO, IL 60606
Coloma, MI
Registered with this firm since 3/31/2016

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/17/2003 - 04/18/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
B
01/17/2003 - 04/18/2016 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
IA
04/10/2002 - 01/17/2003 DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) CHICAGO, IL
B
10/08/2001 - 01/17/2003 DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (CRD#:7560) JERSEY CITY, NJ
B
11/05/1991 - 12/12/1994 NEW ENGLAND SECURITIES (CRD#:615)
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B
Broker
IA
Investment Adviser
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.