Tracy Thomas Cottingham

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Greensboro, NC
• 11/2016 → 12/2020
  Wells Fargo Clearing Services, Llc
  Greensboro, NC
• 12/2020 → Present
  Raymond James Financial Services, Inc
  Greensboro, NC
• 12/2020 → Present
  Raymond James Financial Services Advisors, Inc
  Greensboro, NC
• 12/2020 → Present
  Pinnacle Bank/ Pinnacle Financial Partners
  Greensboro, NC

Previous Registrations

• 2007-03-23 → 2020-12-08
  Wells Fargo Clearing Services, Llc
  Greensboro, NC
  Greensboro, NC
  Greensboro, NC
  Winston Salem, NC
  Greensboro, NC
  Greensboro, NC
  High Point, NC
  Winston Salem, NC
  Reidsville, NC
• 2001-12-20 → 2007-03-29
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greensboro, NC
  Greensboro, NC

Other Businesses

(1)Name of Business: Capstone Investment Company Address: 707 Green Valley Rd Fl 1, Greensboro, NC, 27408-7019, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/01/2020 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Trade name for our Investment partnership within Pinnacle Asset Management. (2)Name of Business: Pinnacle Asset Management Address: 707 Green Valley Road, Greensboro, NC, 27408, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/01/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-07-02
• S66 Uniform Combined State Law Examination
  1999-04-27

Other Names

• Tracy T (Iv) Cottingham