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TRACY TIMMERMAN
TRACY GUETLE, Tracy Ann Guetle, TRACY ANN TIMMERMAN
CRD#: 2983113
IA
B
FIFTH THIRD SECURITIES, INC.CRD#: 628 2201 66TH ST. N
ST. PETERSBURG, FL 33710
ST. PETERSBURG, FL 33710
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6/13/2017
Financial
Final
6/15/1999
Customer Dispute
Denied
State Registrations
B
California 4/5/2017
IA
Florida 10/22/2018
B
Florida 4/5/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/22/2018
B
Registered with this firm since 4/4/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/07/2011 - 10/20/2016 | CLEARWATER, FL | |
IA | 02/01/2008 - 04/19/2011 | TAMPA, FL | |
B | 01/29/2008 - 04/19/2011 | TAMPA, FL | |
B | 08/17/2007 - 01/25/2008 | TAMPA, FL | |
IA | 02/20/2007 - 08/07/2007 | TAMPA, FL | |
B | 10/02/2002 - 01/03/2007 | TAMPA, FL | |
B | 08/01/2002 - 10/03/2002 | NEW YORK, NY | |
IA | 02/04/1998 - 07/31/2002 | CLEARWATER, FL | |
B | 01/27/1998 - 07/31/2002 | MINNEAPOLIS, MN | |
B | 01/27/1998 - 07/31/2002 | MINNEAPOLIS, MN |
TAMPA, FL
02/20/2007 - 08/07/2007
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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.