David Francis Tracy

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 03/2016 → 11/2016
  Wells Fargo Advisors, Llc
  Chicago, IL
• 11/2016 → Present
  Wells Fargo Clearing Services, Llc
  Chicago, IL

Previous Registrations

• 2003-01-17 → 2016-04-18
  Credit Suisse Securities (Usa) Llc
  Chicago, IL
  Chicago, IL
• 2002-04-10 → 2003-01-17
  Pershing Llc
  Chicago, IL

Other Businesses

RENTAL PROPERTY; INV RELATED; CHICAGO, IL; 100% OWNERSHIP WITH SPOUSE; START 3/18/2006; 2 HOURS PER MONTH, 0 DURING TRADING; LANDLORD. | BW RENAISSANCE PARTNERS, INV RELATED, CHICAGO, IL, 25% OWNER, START: 7/23/2015, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD.| TRACY FAMILY CHICAGO, LLC, INVT RELATED, CHICAGO, IL, 100% OWNERSHIP, START DATE 11/13/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, LLC FOR RENTAL PROPERTIES.| RENTAL PROPERTY; INV RELATED; SOUT BEND, IN; SEASONAL RENTAL; 100% OWNERSHIP; START DATE 07/25/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING HOURS

Exams

• S66 Uniform Combined State Law Examination
  2001-11-03