Pamela Ann Tracey

Current Employers

Employment History

• 06/2011 → 12/2019
  Saxony Securities, Inc.
  St. Louis, MO
• 07/2013 → Present
  Tracey Wealth Management Co
  Linwood, NJ
• 06/2014 → Present
  Tracey & Tracey Cpas Llc
  Linwood, NJ
• 04/2000 → Present
  James Fudge And Salt Water Taffy Company
  Sea Isle City, NJ
• 06/2011 → 12/2019
  Saxony Capital Management
  Saint Louis, MO
• 12/2019 → Present
  Kestra Investment Services, Llc
  Linwood, NJ
• 12/2019 → Present
  Kestra Advisory Services, Llc
  Linwood, NJ

Previous Registrations

• 2011-06-20 → 2019-12-12
  Saxony Capital Management, Llc
  Linwood, NJ
  Saint Louis, MO
• 2010-06-21 → 2011-06-21
  Cetera Investment Advisers Llc
  Linwood, NJ

Other Businesses

Business Name: Tracey & Tracey Certified Public Accountants Investment Related: No Address: 327 Central Avenue, Suite 101 Linwood NJ 08221 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: President, Owner Start Date: 1/1/2015 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 51% - 60% (71 - 84 hours) Duties: Oversee tax & accounting operations, meet with clients, prepare/review tax returns, train staff Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway, Bldg 2, STE 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Investment Adviser Start Date: 12/2/2019 Hours per month: 41% - 50% (65 - 80 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Selling products offered through Kestra AS to my clients Business Name: Tracey Wealth Management Company Investment Related: Yes Address: 327 Central Avenue, Suite 101 Linwood NJ 08221 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Managing member, Owner Start Date: 4/16/2011 Hours per month: 31% - 40% (49 - 64 hours) Hours per month during trading hours: 41% - 50% (57 - 70 hours) Duties: Oversee operations, financial advisory services with Kestra Investment Services, LLC and Kestra Advisory Services, LLC Business Name: James Fudge & Salt Water Taffy Company, Inc Investment Related: No Address: 14 JFK Boulevard Sea Isle City NJ 08243 Nature of Business: Other Other/None of the Above Retail Position, Title or Relationship: Treasurer Start Date: 1/1/1996 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I mostly assist with the books and finances. If needed I assist with running day to day operations. This is a seasonal business

Exams

• S66 Uniform Combined State Law Examination
  2010-06-18