Tracy JohnsonCRD Number: 1986406
Current Firm: Securities America Advisors, Inc.
Tracy Johnson (CRD# 1986406) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Omaha, NE and has over 27 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Wells Fargo Advisors, LLC
Mutual Of Omaha Investor Services, Inc.
|Securities America Advisors, Inc.||Omaha, NE||Jan 2006 - Current||11|
|Securities America, Inc.||Omaha, NE||Nov 2003 - Current||13|
|Tracy Q. Johnson||Omaha, NE||Apr 2003 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1989|
|S65||NASAA Investment Advisors Law Examination||Dec 2005|
|S66||NASAA Uniform Combined State Law Examination||Aug 2002|
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:
- Criminal Record
Total Assets Under Management13,433MILLIONS
Total Number of Accounts92,356ACCOUNTS
Average Account Value$145,443
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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