Tracy A. Pulvers
Also appears in the source record as: Tracy Alan Pulvers
Registration & licensing
As recorded in SEC IAPD / FINRA BrokerCheck
- Broker-dealer registration
- Active
- Investment adviser registration
- Active
- Exams passed (10)
- Series 7TOSIESeries 31Series 3PCSeries 1Series 4Series 40Series 66Series 63
- Registered states (52)
- Alabama · Alaska · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
- Years in the industry (source record)
- 60
- Professional designations
- Not yet retrieved from the source record
Disclosures
Copied from the official record
The official record for CRD 368795 contains one or more disclosure events as of Aug 20, 2026.
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Current firm
From the firm record
- Firm
- J.P. Morgan Securities LLC
- Firm CRD
- 79
- SEC number
- 801-3702
- Assets under management
- $429.7B as of Jun 30, 2026
- Website
- wealthpartners.jpmorgan.com ↗
- Phone
- 800-999-2000
- Firm location
- New York, NY, 10017
Employment history (17)
From the source registration record · current first
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start not retrieved → present
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start not retrieved → present
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Rbc Capital Markets, LLCCentury City, CA · IA capacityMay 11, 2010 → Nov 18, 2021
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Rbc Capital Markets, LLCCentury City, CA · BC capacityMay 6, 2010 → Nov 18, 2021
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Morgan Stanley Smith Barney LLCLos Angeles, CA · IA capacityJun 1, 2009 → May 19, 2010
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Morgan Stanley Smith BarneyLos Angeles, CA · BC capacityJun 1, 2009 → May 19, 2010
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Citigroup Global Markets Inc.Los Angeles, CA · IA capacityApr 28, 2003 → Jun 1, 2009
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Citigroup Global Markets Inc.Los Angeles, CA · BC capacityApr 28, 2003 → Jun 1, 2009
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Credit Suisse First BostonLos Angeles, CA · IA capacityJan 17, 2003 → May 1, 2003
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Credit Suisse First Boston LLCNew York, NY · BC capacityJan 17, 2003 → May 1, 2003
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Donaldson Lufkin & Jenrette Securities CorporationLos Angeles, CA · IA capacityJul 8, 1997 → Jan 17, 2003
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Donaldson, Lufkin & Jenrette Securities CorporationJersey City, NJ · BC capacityDec 18, 1989 → Jan 17, 2003
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Morgan Stanley & Co., IncorporatedBC capacityJan 3, 1983 → Apr 29, 1989
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Kidder, Peabody & Co. IncorporatedBC capacityMay 19, 1978 → Jan 18, 1983
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Kidder, Peabody & Co., IncorporatedBC capacityApr 3, 1975 → May 19, 1978
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Shields Model Roland IncorporatedBC capacitySep 12, 1972 → Apr 26, 1975
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Goldman, Sachs & Co.BC capacityOct 27, 1965 → Oct 7, 1972
Source & corrections
Where this page comes from
Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.
Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.