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Tracy Sue Van Horn

Usi Advisors

Seattle, WA

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Current Employers
Usi Advisors

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2017-04-27
  • WA RA
    APPROVED
    Since 2017-04-27

Branch Locations

601 Union Street Suite 1000, Seattle, WA 98101 • 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
Kibble & Prentice Holding Company Seattle WA 12/2005 Present
Usi Advisors, Inc. Seattle WA 04/2017 Present
  • 12/2005 → Present
    Kibble & Prentice Holding Company
    Seattle, WA
  • 04/2017 → Present
    Usi Advisors, Inc.
    Seattle, WA
Previous Registrations
  • 2006-10-06 → 2017-05-01
    Kibble & Prentice Holding Company
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-20
S63 Uniform Securities Agent State Law Examination 2005-11-03
  • S65 Uniform Investment Adviser Law Examination
    2006-09-20
  • S63 Uniform Securities Agent State Law Examination
    2005-11-03

View on SEC IAPD

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KLAKNA GROUP LTD · SEATTLE, WA
EUCLIDEAN TECHNOLOGIES MANAGEMENT, LLC · SEATTLE, WA
MADISON PARK CAPITAL ADVISORS, LLC · SEATTLE, WA
ETERNAL DIGITAL FUND LTD. · SEATTLE, WA
FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
CEDAR RIVER CAPITAL, LLC · SEATTLE, WA
ROBERT A. UNDERHILL P.C. · SEATTLE, WA
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