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TRACY ANN GRAVIUS
Tracy A Gravius, TRACY A JOHNSON, Tracy Ann Johnson
CRD#: 4615069
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 294197 300 First Stamford Place, Suite 230
Stamford, CT 06902
Stamford, CT 06902
ROCKEFELLER FINANCIAL LLCCRD#: 291361 300 First Stamford Place
Suite 230
Stamford, CT 06902
Suite 230
Stamford, CT 06902
0
Disclosures
13
Years of Experience
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State Registrations
IA
Connecticut 10/21/2021
IA
Texas 8/9/2024
B
Connecticut 11/20/2024
SRO Registrations
B
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IA
Registered with this firm since 8/9/2024
B
Registered with this firm since 12/10/2021
IA
Registered with this firm since 10/21/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/01/2012 - 08/18/2016 | GREENWICH, CT | |
IA | 10/01/2012 - 03/26/2013 | GREENWICH, CT | |
IA | 05/29/2012 - 10/01/2012 | RIVERSIDE, CT | |
B | 05/29/2012 - 10/01/2012 | RIVERSIDE, CT | |
IA | 10/01/2008 - 04/17/2012 | GREENWICH, CT | |
B | 10/01/2008 - 04/17/2012 | GREENWICH, CT | |
IA | 11/02/2006 - 10/01/2008 | NEW CANAAN, CT | |
B | 11/02/2006 - 10/01/2008 | NEW CANAAN, CT | |
IA | 02/21/2006 - 11/17/2006 | APPLETON, WI | |
B | 01/31/2006 - 11/17/2006 | APPLETON, WI |
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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.