Individual Firm
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Tracy Dean
Tracy Earl Dean
CRD#: 4221597
IA
B
EDWARD JONESCRD#: 250 1144 EAST CUTLAR CROSSING
SUITE 101
LELAND, NC 28451
SUITE 101
LELAND, NC 28451
View By:
11/20/2023
Customer Dispute
Settled
State Registrations
B
Arizona 12/15/2021
B
North Carolina 12/15/2021
B
Florida 12/15/2021
IA
North Carolina 12/15/2021
B
Georgia 12/15/2021
B
Ohio 12/15/2021
B
Massachusetts 4/7/2022
B
South Carolina 12/15/2021
B
Montana 9/22/2023
B
Virginia 12/15/2021
B
New York 12/15/2021
SRO Registrations
B
B
B
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 12/15/2021
B
Registered with this firm since 12/15/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/28/2018 - 12/22/2021 | WILMINGTON, NC | |
B | 09/28/2018 - 12/22/2021 | WILMINGTON, NC | |
IA | 11/23/2012 - 10/19/2018 | WILMINGTON, NC | |
B | 11/23/2012 - 10/19/2018 | WILMINGTON, NC | |
IA | 01/02/2009 - 11/19/2012 | WILMINGTON, NC | |
B | 02/14/2006 - 11/19/2012 | WILMINGTON, NC | |
IA | 03/02/2006 - 01/02/2009 | WILMINGTON, NC | |
IA | 12/31/2000 - 08/29/2005 | WILMINGTON, NC | |
B | 09/01/2000 - 08/29/2005 | PURCHASE, NY |
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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.