Clifford Tracy
Clifford Tracy is a registered investment advisor at Brown, Lisle/cummings, INC, based in Providence, RI, with 37 years of industry experience. Clifford operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 232 clients with $410M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.50% |
| $1.0M - $2.0M | 1.25% |
| $2M+ | 1.00% |
Fees may be negotiable based on various factors. Certain legacy clients may be subject to different fee arrangements.
Fee Estimator
Location
One Turks Head Place - Suite 800, Providence, RI, 02903-2273
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Clifford receives passive income from policy renewals as a former insurance agent of Mass Mutual.
Employment History
Current Registrations
Brown, Lisle/cummings, INC
Brown, Lisle/cummings, INC.Broker
Previous Registrations
MML Investors Services, LLCBroker
Bostonia Global Securities, LLCBroker
Legg Mason Wood Walker, IncorporatedBroker
Hsbc Securities (USA) INC.Broker
Legg Mason Wood Walker, IncorporatedBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Painewebber IncorporatedBroker
State Registrations10 states
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