Unclaimed Profile

Tracy Le Ann Richards

FIDELIS IM, LLC·MEDFORD, Oregon

Series 65Clean record14 years registeredFIDELIS IM, LLC

2950 E. BARNETT ROAD, MEDFORD, OR 97504CRD# 6041222Firm CRD# 162985

Profile Verification

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

Identity

Tracy Le Ann Richards · MEDFORD, OR

Registration

CRD #6041222 · FIDELIS IM, LLC · 14 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: FIDELIS IM, LLC

FIDELIS IM

Mar 2012 – Oct 2024

MEDFORD, OR

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · March 30, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

FIDELIS IM, LLC

CRD 162985 · SEC 801-118351

AUM

$269M

Regulatory assets under management

Employees

564 client accounts

Services offered by FIDELIS IM, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at FIDELIS IM, LLC →

Introduction

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Frequently Asked Questions

What services does Tracy Le Ann Richards offer?

Tracy Le Ann Richards specializes in Financial Planning, Investment Management, Wealth Management, Fee-Only Advisory.

What are Tracy Le Ann Richards's credentials?

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

Where is Tracy Le Ann Richards located?

Tracy Le Ann Richards is based in MEDFORD, Oregon, last registered with FIDELIS IM, LLC.

How does Tracy Le Ann Richards charge for services?

Tracy Le Ann Richards's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FIDELIS IM, LLC?

FIDELIS IM, LLC has approximately 3 employees and manages $269M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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