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Traci Allysan Carrion
Traci A Carrion, TRACI ALLYSAN FISHBEIN
CRD#: 2845981
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 6000 Poplar Avenue
Office 207, 232, Suite 250
Memphis, TN 38119
Office 207, 232, Suite 250
Memphis, TN 38119
0
Disclosures
24
Years of Experience
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State Registrations
B
Alabama 11/11/2022
B
Ohio 9/27/2024
B
Arkansas 11/11/2022
B
Tennessee 11/14/2022
B
Kentucky 11/11/2022
IA
Tennessee 11/15/2022
B
Maryland 3/15/2023
B
West Virginia 6/12/2024
B
Mississippi 11/11/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/15/2022
B
Registered with this firm since 11/11/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/12/2019 - 10/25/2022 | MEMPHIS, TN | |
B | 11/12/2019 - 10/25/2022 | MEMPHIS, TN | |
IA | 12/03/2018 - 08/09/2019 | Memphis, TN | |
B | 11/30/2018 - 08/09/2019 | MEMPHIS, TN | |
IA | 05/02/2014 - 01/03/2018 | ROCKVILLE, MD | |
B | 04/30/2014 - 01/03/2018 | ROCKVILLE, MD | |
IA | 06/01/2009 - 03/04/2013 | GAITHERSBURG, MD | |
B | 06/01/2009 - 03/04/2013 | GAITHERSBURG, MD | |
IA | 02/21/2006 - 06/01/2009 | GAITHERSBURG, MD | |
B | 02/21/2006 - 06/01/2009 | GAITHERSBURG, MD | |
IA | 09/28/2000 - 02/21/2006 | GAITHERSBURG, MD | |
B | 06/10/1999 - 02/21/2006 | BALTIMORE, MD | |
B | 09/11/1998 - 06/30/1999 | CHARLOTTE, NC | |
B | 05/13/1997 - 03/11/1998 | ARLINGTON, VA |
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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.