Traci Havens, financial advisor Palm Beach FL
81 score

Traci Havens

CRD Number: 3129969
Current Firm: Suntrust Investment Services, Inc.

Traci Havens (CRD# 3129969) is an Investment Advisor Representative working at Suntrust Investment Services, Inc. in Palm Beach, FL and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Suntrust Investment Services, Inc. Atlanta, GA Aug 2013 - Current 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Palm Beach Gardens, FL Mar 2012 - Aug 2013 1
Charles Schwab Bank West Palm Beach, FL Feb 2005 - Mar 2012 7
Charles Schwab & Company, Inc. West Palm Beach, FL Oct 2000 - Mar 2012 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1998
S65 NASAA Investment Advisors Law Examination Dec 1998
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
Get Details on the FINRA Advisor Check site
Contact Info for Traci B. Havens
Phone Number: 404-813-8981
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    10,443
    MILLIONS
  • Total Number of Accounts
    26,841
    ACCOUNTS
  • Average Account Value
    $389,077
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Other
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
81

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