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Detailed Report
Mathew C Tracy
CRD#: 7199429
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 4800 Meadows Road
Suite 400
Lake Oswego, OR 97035
Registration History
20202021202220232024202520262 FIRMS2023 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2020 - 2022 (2 years)IABUCKINGHAM STRATEGIC WEALTH, LLC (CRD# 143323)2022 - 2023 (<1 year)
License(s)

State Registrations

B
Alaska 4/11/2023
B
New York 4/11/2023
B
Arizona 4/11/2023
B
Ohio 4/12/2023
B
California 4/11/2023
IA
Oregon 3/31/2023
B
Delaware 4/11/2023
B
Oregon 4/3/2023
B
Florida 4/11/2023
B
Pennsylvania 4/11/2023
B
Kansas 4/11/2023
B
Texas 4/11/2023
B
Kentucky 3/5/2024
IA
Texas 4/12/2023
B
Missouri 4/11/2023
B
Utah 11/28/2023
B
Montana 4/11/2023
B
Virginia 4/11/2023
B
New Jersey 4/11/2023
B
Washington 4/11/2023
B
New Mexico 4/11/2023

SRO Registrations

B
 FINRA
B
 NYSE American 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
MORGAN STANLEY (CRD#:149777)
4800 Meadows Road Suite 400, Lake Oswego, OR 97035
Registered with this firm since 3/31/2023
B
MORGAN STANLEY (CRD#:149777)
4800 Meadows Road Suite 400, Lake Oswego, OR 97035
Registered with this firm since 4/3/2023
Previous Registration(s)
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IA
 11/28/2022 - 03/14/2023 BUCKINGHAM STRATEGIC WEALTH, LLC (CRD#:143323) BEND, OR
B
 08/03/2020 - 08/23/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) Lone Tree, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.