Tracy Annette Holt

Current Employers

Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2017-08-31

TX RA
APPROVED

Since 2017-08-31

Branch Locations

100 Crescent Court Suite 1500, Dallas, TX 75201-1871 • United States

Duncanville, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Dallas	TX	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Dallas	TX	11/2016	08/2017
Rbc Capital Markets Llc	Dallas	TX	08/2017	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Dallas, TX
11/2016 → 08/2017

Wells Fargo Clearing Services, Llc

Dallas, TX
08/2017 → Present

Rbc Capital Markets Llc

Dallas, TX

Previous Registrations

2006-11-30 → 2017-07-31

Wells Fargo Clearing Services, Llc

Dallas, TX

Dallas, TX
2004-05-27 → 2005-01-13

Citigroup Global Markets Inc.

Dallas, TX
2003-07-08 → 2004-05-20

Banc One Securities Corporation

Dallas, TX
1998-05-26 → 2003-06-10

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-09-08
S63	Uniform Securities Agent State Law Examination	1997-10-10

S65 Uniform Investment Adviser Law Examination

2000-09-08
S63 Uniform Securities Agent State Law Examination

1997-10-10

Other Names

Tracy Richard
Tracy Annette Richard
Tracy Annette Decluette
Tracy Annette Stewart
Tracy Annette Lusk

View on SEC IAPD

Current Employers

Rbc Capital Markets, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews