James Tracy, financial advisor Cincinnati OH
90 score

James Tracy

CRD Number: 5944852
Current Firm: Advice And Planning Services

James Tracy (CRD# 5944852) is an Investment Advisor Representative working at Advice And Planning Services in Cincinnati, OH and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa Cincinnati, OH Jul 2015 - Current 1
Tiaa-cref Individual & Institutional Services, LLC Cincinnati, OH Jul 2015 - Current 1
Fidelity Investments Covington, KY Jun 2011 - Jul 2015 4
First Security Trust Bank Edgewood, KY Feb 2009 - Jun 2011 2
Us Bank Clifton, OH Aug 2008 - Feb 2009 < 1
Target Corporation Lexington, KY Mar 2008 - Aug 2008 < 1
Logans Roadhouse Lexington, KY Jun 2006 - Aug 2008 2
Unemployed Lexington, KY Jan 2008 - Mar 2008 < 1
Campaign 2007 Lexington, KY Mar 2007 - Jan 2008 < 1
Texas Roadhouse Lexington, KY Nov 2006 - Mar 2007 < 1
University Of Kentucky Lexington, KY May 2005 - Nov 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2011
S66 NASAA Uniform Combined State Law Examination Mar 2012
Contact Info for James A. Tracy
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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