Tracy Anton

Employer firm

Steward Partners Investment Advisory, LLC CRD 283004

$36.7B regulatory AUM 9,667 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• FINANCIAL CONSULTING

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

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

Current Employers

Employment History

• 08/2014 → 08/2017
  Securities America Inc
  La Vista, NE
• 08/2014 → 08/2017
  Securities America Advisors
  La Vista, NE
• 04/2017 → 08/2017
  Arbor Point Advisors
  Chardon, OH
• 09/2017 → 04/2019
  Concorde Investment Services, Llc
  Livonia, MI
• 09/2017 → 04/2019
  Concorde Asset Management, Llc
  Livonia, MI
• 04/2019 → 12/2023
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pepper Pike, OH
• 12/2023 → 06/2026
  Ubs Financial Services
  Chardon, OH
• 06/2026 → Present
  Steward Partners Global Advisory, Llc
  Chardon, OH
• 06/2026 → Present
  Steward Partners Investment Advisory, Llc
  Chardon, OH
• 06/2026 → Present
  Steward Partners Investment Solutions, Llc
  Chardon, OH

Previous Registrations

• 2023-12-18 → 2026-07-15
  Ubs Financial Services Inc.
  Chardon, OH
  Pepper Pike, OH
  Akron, OH
  Weehawken, NJ
  Chardon, OH
• 2019-05-02 → 2023-12-18
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Westlake, OH
  Cleveland, OH
  New York, NY
  Pepper Pike, OH
  Canfield, OH
  Akron, OH
  Pepper Pike, OH
• 2017-09-28 → 2019-04-29
  Concorde Asset Management, Llc
  Ann Arbor, MI
• 2014-08-19 → 2017-08-24
  Securities America Advisors, Inc.
  Chardon, OH
• 2017-04-14 → 2017-08-24
  Arbor Point Advisors
  Chardon, OH
• 2012-07-16 → 2014-08-15
  Pnc Wealth Management Llc
  Cleveland, OH
  Cleveland, OH

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-10-24
• S63 Uniform Securities Agent State Law Examination
  2010-01-06

Other Names

• Tracy A Anton