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Clifford Burrell Tracy

Brown, Lisle/Cummings, Inc.

Providence, RI

Providence, RI

Providence, RI

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Current Employers
Brown, Lisle/Cummings, Inc.

56 Exchange Terrace Suite 300, Providence, RI 02903-1772 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2012-11-28
  • RI RA
    APPROVED
    Since 2012-11-28

Branch Locations

56 Exchange Terrace Suite 300, Providence, RI 02903-1772 • UNITED STATES

56 Exchange Terrace Suite 300, Providence, RI 02903-1772 • United States

56 Exchange Terrace Suite 300, Providence, RI 02903-1772 • 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
Brown, Lisle/Cummings, Inc. Providence RI 11/2012 Present
Other Businesses

AS A FORMER INSURANCE AGENT OF MASS MUTUAL, I RECEIVE PASSIVE INCOME ON POLICY RENEWALS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-11-27
S63 Uniform Securities Agent State Law Examination 1991-01-11
  • S65 Uniform Investment Adviser Law Examination
    2012-11-27
  • S63 Uniform Securities Agent State Law Examination
    1991-01-11
Other Names
  • Clifford B Tracy
  • Tip Tracy

View on SEC IAPD

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