Tracy Annette Holt

Employer firm

Rbc Capital Markets, LLC CRD 31194

$310B regulatory AUM 1,893 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 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