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Clifford Tracy

Brown, Lisle/cummings, INC
37 Years of Experience
Providence, RI
BrokerSells Insurance
View SEC Summary
View SEC Summary

Clifford Tracy is a registered investment advisor at Brown, Lisle/cummings, INC, based in Providence, RI, with 37 years of industry experience. Clifford is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 238 clients with $490M in assets under management.

Brown, Lisle/cummings, INC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
8 advisors
Number of Clients
238 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$487.3M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.50%
$1.0M - $2.0M1.25%
$2M+1.00%

Fees may be negotiable based on various factors. Certain legacy clients may be subject to different fee arrangements.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

56 Exchange Terrace Suite 300, Providence, RI, 02903-1772

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History

Regulatory History
Clean regulatory record

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.

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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
November 2012 - Present · 13 yrs 11 mos
Brown, Lisle/cummings, INC.Broker
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
MML Investors Services, LLCBroker
May 2009 - June 2011 · 2 yrs 1 mo
Bostonia Global Securities, LLCBroker
March 2005 - February 2008 · 2 yrs 11 mos
Legg Mason Wood Walker, IncorporatedBroker
December 1999 - March 2005 · 5 yrs 3 mos
Hsbc Securities (USA) INC.Broker
October 1996 - November 1999 · 3 yrs 1 mo
Legg Mason Wood Walker, IncorporatedBroker
August 1990 - September 1996 · 6 yrs 1 mo
Donaldson, Lufkin & Jenrette Securities CorporationBroker
July 1987 - August 1990 · 3 yrs 1 mo
Painewebber IncorporatedBroker
November 1983 - February 1985 · 1 yr 3 mos
State Registrations11 states
CACOCTFLGAMAMDNYRITNVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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