Tracy L Aaron

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 05/2011 → 03/2022
  Gwn Securities Inc
  Palm Beach Gardens, FL
• 03/2022 → Present
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 03/2022 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2012-03-02 → 2022-03-10
  Gwn Securities Inc.
  Easton, MD
  Palm Beach Gardens, FL
  Palm Beach Gardens, FL
  Easton, MD
  Easton, MD
  Easton, MD

Other Businesses

1) ANCHOR FINANCIAL ADVISORS / 28531 Holden Road, Easton MD 21601 / 05/01/2015 / INV REL / INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES / 1 HR/MO - 1 HR/MO TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 03/10/2022, AS ADVISORY REP OF A RIA, INV REL, 80 HR/MO - 40 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-03-01
• S63 Uniform Securities Agent State Law Examination
  2005-10-26

Other Names

• Tracy Lynn Buchko
• Tracy Lynn Aaron
• Tracy L Aaron
• Tracy L. Dicarlantonio
• Tracy L Dicarlantonio