James Frank Tracz

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2021-12-06

Branch Locations

77 Milford Drive Suite 236, Hudson, OH 44236 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Waddell & Reed, Inc.	Erie	PA	01/2003	11/2018
Various Insurance Carriers For W & R Insurance Agencies	Painesville	OH	01/2003	12/2021
Brightwood Lakes Commuinity Association	Concord	OH	09/2010	Present
Ameriprise Financial Services, Inc.	Westlake	OH	10/2018	12/2021
Commonwealth Financial Network	Waltham	MA	12/2021	Present
Michael Germo Dba Financial Planning Resources	Willoughby	OH	04/2022	Present

01/2003 → 11/2018

Waddell & Reed, Inc.

Erie, PA
01/2003 → 12/2021

Various Insurance Carriers For W & R Insurance Agencies

Painesville, OH
09/2010 → Present

Brightwood Lakes Commuinity Association

Concord, OH
10/2018 → 12/2021

Ameriprise Financial Services, Inc.

Westlake, OH
12/2021 → Present

Commonwealth Financial Network

Waltham, MA
04/2022 → Present

Michael Germo Dba Financial Planning Resources

Willoughby, OH

2022-04-06 → 2023-01-01

Financial Planning Resources, Inc.

Willoughby Hills, OH
2018-11-21 → 2021-12-14

Ameriprise Financial Services, Llc

Westlake, OH

Pepper Pike, OH
2003-01-16 → 2018-12-10

Waddell & Reed

Erie, PA

Memphis, TN

Pittsburgh, PA

1. Fixed insurance sales; as of 02/02/2022; 2% of time spent during business hours; Conducted at branch location; Investment related.

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-09