Tracey Breaux, financial advisor New York NY
96 score

Tracey Breaux

CRD Number: 4566591
Current Firm: Charles Schwab & Company, Inc.

Tracey Breaux (CRD# 4566591) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in New York, NY and has over 14 years of experience in the finance industry. Tracey Breaux 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
Acting/ Multiple Agencies New York, NY Sep 2015 - Current 1
Charles Schwab & Company Inc. New York, NY Oct 2012 - Current 4
Charles Schwab Bank New York, NY Oct 2012 - Current 4
Usaa Financial Advisors Inc. New York, NY Aug 2011 - Oct 2012 1
Usaa Financial Planning Services New York, NY Aug 2011 - Oct 2012 1
Unemployed San Antonio, TX Feb 2011 - Aug 2011 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saint Petersburg, FL Aug 2009 - Feb 2011 1
Unemployed San Antonio, TX Apr 2009 - Aug 2009 < 1
Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated Saint Petersburg, FL Mar 2002 - Apr 2009 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2002
Contact Info for Tracey J. Breaux
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, 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
96
Clean Record
This advisor has a clean track record with regulators.

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