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TRACY ANNETTE HOLT
TRACY ANNETTE DECLUETTE, TRACY ANNETTE LUSK, TRACY ANNETTE RICHARD, TRACY RICHARD, TRACY ANNETTE STEWART
CRD#: 2930138
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 100 CRESCENT COURT
SUITE 1500
DALLAS, TX 75201-1871
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2003 (5 years)2 FIRMS2003 - 2004 (<1 year)2 FIRMS2004 - 2005 (<1 year)2 FIRMS2017 - Present (7 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2007 - 2017 (10 years)BMERRILL LYNCH FUNDS DISTRIBUTO... (CRD# 4100)1997 - 1998 (<1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2006 - 2017 (10 years)
Disclosure(s)
View By:
3/22/2011
Judgment / Lien
License(s)

State Registrations

B
Colorado 9/13/2017

IA
Texas 8/1/2017

B
Mississippi 6/6/2024

B
Utah 3/19/2024

B
Texas 8/1/2017

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX PEARL, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, 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
RBC CAPITAL MARKETS, LLC (CRD#:31194)
100 CRESCENT COURT SUITE 1500, DALLAS, TX 75201-1871
DUNCANVILLE, TX
Registered with this firm since 8/1/2017

B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
100 CRESCENT COURT SUITE 1500, DALLAS, TX 75201-1871
DUNCANVILLE, TX
Registered with this firm since 8/1/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
11/30/2006 - 07/31/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DALLAS, TX
B
01/01/2007 - 07/31/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DALLAS, TX
IA
05/27/2004 - 01/13/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
05/27/2004 - 01/13/2005 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
IA
07/08/2003 - 05/20/2004 BANC ONE SECURITIES CORPORATION (CRD#:16999) DALLAS, TX
B
07/08/2003 - 05/20/2004 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
IA
05/26/1998 - 06/10/2003 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) DALLAS, TX
B
05/20/1998 - 06/10/2003 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
09/15/1997 - 03/15/1998 MERRILL LYNCH FUNDS DISTRIBUTOR, INC. (CRD#:4100) NEW YORK, NY
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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.