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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Tracy, CA

Every SEC-registered investment adviser representative at a firm office in Tracy, with the firms that employ the most of them.

24 registered advisors work in Tracy; the most are at Edward Jones (3). 0 list the CFP designation and 22 are also registered broker representatives.

Firms with the most advisors in Tracy

FirmAdvisors in Tracy
Edward Jones news3
Osaic Wealth, Inc. news3
Wells Fargo Clearing Services, LLC news3
Ameriprise Financial Services, LLC news2
J.P. Morgan Securities LLC news2
LPL Financial LLC news2
401k Engineers Inc.1
B. Riley Wealth Advisors, Inc.1
Focus Partners Wealth, LLC1
MML Investors Services, LLC1
Merrill Lynch, Pierce, Fenner & Smith Incorporated news1
Park Avenue Securities LLC1
Raymond James Financial Services Advisors, Inc. news1
Retirement Plan Advisors, LLC1
T. Rowe Price Associates, Inc.1

Advisors in Tracy, A to Z

Search all of California →

Other cities in California

All of California →

San Diego 3,692Los Angeles 3,528San Francisco 3,395Newport Beach 1,868Irvine 1,751Pasadena 1,138Walnut Creek 1,114San Jose 962Beverly Hills 692Westlake Village 638Roseville 633Sacramento 613Palo Alto 546Torrance 513La Jolla 490Santa Barbara 454Carlsbad 446Fresno 446El Segundo 438San Rafael 434Menlo Park 432Woodland Hills 377San Mateo 373Long Beach 359

Questions

How many financial advisors are in Tracy, CA?

24 investment adviser representatives are registered at firm offices in Tracy, California, according to the SEC's Investment Adviser Public Disclosure records. 22 of them are also registered as broker representatives, and 0 list the CFP designation.

Which firm has the most financial advisors in Tracy?

Edward Jones, with 3 registered advisors in Tracy, followed by Osaic Wealth, Inc. with 3.

How do I check a financial advisor in Tracy?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.