Tracey BarnesCRD Number: 4591232
Current Firm: Ameriprise Financial Services, Inc.
Tracey Barnes (CRD# 4591232) is an Investment Advisor Representative working at Ameriprise Financial Services, Inc. in Tampa, FL and has over 14 years of experience in the finance industry.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Ameriprise Financial||Tampa, FL||Nov 2009 - Current||7|
|Unemployed||Hiawassee, GA||Apr 2009 - Sep 2009||< 1|
|United Community Advisory Services||Hiawassee, GA||May 2008 - Mar 2009||< 1|
|Edward Jones||St.louis, MO||Sep 2002 - Apr 2008||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2002|
|S66||NASAA Uniform Combined State Law Examination||Jan 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:
- Financial Issue
Total Assets Under Management178,060MILLIONS
Total Number of Accounts1,085,445ACCOUNTS
Average Account Value$164,044
- A percentage of assets under your management
- Hourly charges
- 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- 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, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV