Traci Hapke, financial advisor San Diego CA
81 score

Traci Hapke

CRD Number: 3149504
Current Firm: Morgan Stanley

Traci Hapke (CRD# 3149504) is an Investment Advisor Representative working at Morgan Stanley in San Diego, CA and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Smith Barney Scottsdale, AZ Jun 2009 - Current 7
Citigroup Global Markets Inc. Scottsdale, AZ Jul 2007 - Sep 2012 5
Ubs Financial Services Inc. Phoenix, AZ Apr 2005 - Jul 2007 2
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination May 2003
S63 Uniform Securities State Law Examination Apr 1999
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 L. Hapke
Phone Number: 914-225-5510
Registered State(s):
  • AZ
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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)
  • Educational seminars/workshops
  • 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, 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, VI, VT, WA, WI, WV

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BADGES
81

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