Tracy Winters, financial advisor Swansea IL
93 score

Tracy Winters

CRD Number: 3069871
Current Firm: Archford Capital Strategies, LLC

Tracy Winters (CRD# 3069871) is an Investment Advisor Representative working at Archford Capital Strategies, LLC in Swansea, IL and has over 16 years of experience in the finance industry.

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Company Name Location Dates Years
Archford Capital Strategies Swansea, IL Mar 2013 - Current 3
Purshe Kaplan Sterling Investments Albany, NY Mar 2013 - Jun 2013 < 1
Merrill Lynch Swansea, IL Feb 2009 - Mar 2013 4
Smith Barney St. Louis, MO Dec 2008 - Feb 2009 < 1
Citigroup Global Markets Inc. Shiloh, IL Apr 2006 - Jan 2009 2
Smith Barney Shiloh, IL Apr 2008 - Dec 2008 < 1
Smith Barney Shiloh, IL Apr 2006 - Apr 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2000
S65 NASAA Investment Advisors Law Examination Feb 2005
Contact Info for Tracy L. Winters
Phone Number: 618-416-7086
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • 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)
Types of Clients
Registered States


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This advisor has a clean track record with regulators.

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