Tracy Gunter, financial advisor Rocklin CA
93 score

Tracy Gunter

CRD Number: 1237369
Current Firm: Smart Investor

Tracy Gunter (CRD# 1237369) is an Investment Advisor Representative working at Smart Investor in Rocklin, CA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Smart Investor Services Rocklin, CA Aug 2002 - Current 14
Smart Investor Rocklin, CA Aug 2002 - Current 14
Lpl Financial Corporation Rocklin, CA Sep 2009 - Sep 2010 1
Associated Securities Corp. Rocklin, CA Dec 2008 - Jun 2009 < 1
Fsc Securities Corporation Auburn, CA Nov 2002 - Dec 2008 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2003
Contact Info for Tracy L. Gunter
Phone Number: 916-435-2100
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    257
    MILLIONS
  • Total Number of Accounts
    589
    ACCOUNTS
  • Average Account Value
    $436,354
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Educational seminars/workshops
Types of Clients
Registered States

CA, NE, TX

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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