Nicholas Parker Tracy

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Selection of other advisers

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

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

Current Employers

Employment History

• 06/2016 → 09/2018
  Country Club Of Buffalo
  Williamsville, NY
• 08/2016 → 06/2020
  University At Buffalo
  Williamsville, NY
• 08/2018 → 02/2021
  Goodwin Insurance Agency
  Williamsville, NY
• 05/2020 → 02/2021
  Royal Alliance Associates, Inc.
  Williamsville, NY
• 02/2021 → Present
  The Vanguard Group, Inc.
  Charlotte, NC
• 08/2017 → 07/2018
  Princeton Equity Partners
  Lewiston, NY
• 12/2017 → 07/2018
  Independent Financial Group
  Lewiston, NY
• 08/2018 → 11/2018
  Signator Investors
  Williamsville, NY
• 02/2021 → Present
  Vanguard Marketing Corporation
  Charlotte, NC
• 04/2021 → Present
  Vanguard Advisers, Inc.
  Charlotte, NC

Exams

• S66 Uniform Combined State Law Examination
  2021-04-20
• S63 Uniform Securities Agent State Law Examination
  2020-08-28

Other Names

• Nicholas Parker Tracy
• Nicholas Tracy