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Tracey Lynn Nobles

Tradewinds, LLC

Raleigh, NC

CRD 2794755

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Employer firm

Tradewinds, LLC CRD 316415

$659M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)

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

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

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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