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Inactive

Tracey Lynn Nobles

Tradewinds, LLC

Raleigh, NC

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Current Employers
Tradewinds, Llc

4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-02-04
  • NC RA
    APPROVED
    Since 2022-02-04

Branch Locations

4600 Marriott Dr. Suite 200, Raleigh, NC 27612 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Raleigh NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 01/2022
Tradewinds, Llc. Raleigh NC 01/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-17
S63 Uniform Securities Agent State Law Examination 1999-09-20
  • S65 Uniform Investment Adviser Law Examination
    2011-11-17
  • S63 Uniform Securities Agent State Law Examination
    1999-09-20

View on SEC IAPD

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