Unclaimed Profile

Tracy L Winters

ARCHFORD CAPITAL STRATEGIES, LLC·SWANSEA, Illinois

Series 7, Series 9, Series 10, Series 31, Series 63, Series 65Clean record21 years registeredARCHFORD CAPITAL STRATEGIES, LLC

13 WOLF CREEK, SWANSEA, IL 62226CRD# 3069871Firm CRD# 164482

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Tracy L Winters · SWANSEA, IL

Registration

CRD #3069871 · ARCHFORD CAPITAL STRATEGIES, LLC · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ARCHFORD CAPITAL STRATEGIES, LLC

ARCHFORD CAPITAL STRATEGIES, LLC

Apr 2013 – May 2018

SWANSEA, IL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Feb 2009 – Apr 2013

SWANSEA, IL

CITIGROUP GLOBAL MARKETS INC.

Apr 2006 – Feb 2009

ST. LOUIS, MO

UBS FINANCIAL SERVICES INC.

Feb 2005 – May 2006

CHESTERFIELD, MO

Registrations & Exams

FINRA examinations passed

Series 7

Series 9

Series 10

Series 31

Series 63

Series 65

Registration record

First registered · February 28, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ARCHFORD CAPITAL STRATEGIES, LLC

CRD 164482 · SEC 801-76851

AUM

$972M

Regulatory assets under management

Employees

3,478 client accounts

Services offered by ARCHFORD CAPITAL STRATEGIES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at ARCHFORD CAPITAL STRATEGIES, LLC →

Introduction

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Frequently Asked Questions

What services does Tracy L Winters offer?

Tracy L Winters specializes in Financial Planning, Investment Management, Wealth Management.

What are Tracy L Winters's credentials?

Tracy L Winters is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tracy L Winters located?

Tracy L Winters is based in SWANSEA, Illinois, last registered with ARCHFORD CAPITAL STRATEGIES, LLC.

How does Tracy L Winters charge for services?

Tracy L Winters's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ARCHFORD CAPITAL STRATEGIES, LLC?

ARCHFORD CAPITAL STRATEGIES, LLC has approximately 41 employees and manages $972M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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