Tracy MunceCRD Number: 5444374
Current Firm: Waddell & Reed
Tracy Munce (CRD# 5444374) is an Investment Advisor Representative working at Waddell & Reed in Sioux Falls, SD and has over 10 years of experience in the finance industry.
Elgethun Capital Management
Compass Financial Group
|Jt Enterprises||Sioux Falls, SD||Apr 2016 - Current||2|
|Dakota Horizons Girl Scouts||Sioux Falls, SD||Apr 2016 - Current||2|
|Waddell & Reed, Inc.||Sioux Falls, SD||Jun 2015 - Current||2|
|Various Insurance Carriers For W&r Insurance Agencies||Sioux Falls, SD||Jun 2015 - Current||2|
|Unemployed||Sioux Falls, SD||May 2015 - Jun 2015||< 1|
|Pinnacle Wealth Management (dba)||Sioux Falls, SD||Nov 2013 - May 2015||1|
|Lpl Financial LLC||Sioux Falls, SD||Oct 2013 - May 2015||1|
|Cetera Investment Services LLC||Saint Cloud, MN||Oct 2011 - Oct 2013||2|
|Great Western Investments And Insurance||Sioux Falls, SD||Oct 2011 - Oct 2013||2|
|Capital Financial Services||Sioux Falls, SD||Mar 2010 - Oct 2011||1|
|First National Bank Sd||Yankton, SD||Aug 2009 - Mar 2010||< 1|
|Wells Fargo Investments||Sioux Falls, SD||Oct 2007 - Aug 2009||1|
|Wells Fargo Bank||Sioux Falls, SD||Apr 1989 - Oct 2007||18|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Dec 2007|
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:
- Customer Dispute
- Regulatory Event
Total Assets Under Management19,057MILLIONS
Total Number of Accounts153,035ACCOUNTS
Average Account Value$124,526
- A percentage of assets under your management
- 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
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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