Tracee Sapp, financial advisor Atlanta GA
64 score

Tracee Sapp

CRD Number: 4586525
Current Firm: Principal Securities, Inc.

Tracee Sapp (CRD# 4586525) is an Investment Advisor Representative working at Principal Securities, Inc. in Atlanta, GA and has over 14 years of experience in the finance industry. Tracee Sapp has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
T Sapp Financial Partners Atlanta, GA Jun 2010 - Current 6
Princor Financial Services Atlanta, GA Sep 2002 - Current 14
Principal Life Ins Co Atlanta, GA Sep 2002 - Current 14
Joyner Financial LLC Atlanta, GA Nov 2002 - Jun 2010 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2002
S65 NASAA Investment Advisors Law Examination May 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Tracee J. Sapp
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • GA
  • LA
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
64

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