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Tracy Pulvers

J.P. Morgan Securities LLC
60 Years of Experience
Los Angeles, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Tracy Pulvers is a registered investment advisor at J.P. Morgan Securities LLC, based in Los Angeles, CA, with 60 years of industry experience. Tracy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

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

Location

2029 Century Park East, Floor 37, Los Angeles, CA, 90067

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
March 1989
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tracy is an employee of both JPMorgan Securities and JPMorgan Bank since November 2021. As an employee of JPMorgan Bank, Tracy can offer bank products and services, including deposit and credit products.

Employment History
Current Registrations
J.P. Morgan Securities LLC
November 2021 - Present · 4 yrs 11 mos
J.P. Morgan Securities LLCBroker
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
RBC Capital Markets, LLC
May 2010 - November 2021 · 11 yrs 6 mos
RBC Capital Markets, LLCBroker
May 2010 - November 2021 · 11 yrs 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2010 · 11 mos
Morgan Stanley Smith Barney LLC
June 2009 - May 2010 · 11 mos
Citigroup Global Markets INC.
April 2003 - June 2009 · 6 yrs 2 mos
Citigroup Global Markets INC.Broker
April 2003 - June 2009 · 6 yrs 2 mos
Credit Suisse First Boston
January 2003 - May 2003 · 4 mos
Credit Suisse First Boston LLCBroker
January 2003 - May 2003 · 4 mos
Donaldson Lufkin & Jenrette Securities Corporation
July 1997 - January 2003 · 5 yrs 6 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
December 1989 - January 2003 · 13 yrs 1 mo
Morgan Stanley & CO., IncorporatedBroker
January 1983 - April 1989 · 6 yrs 3 mos
Kidder, Peabody & CO. IncorporatedBroker
May 1978 - January 1983 · 4 yrs 8 mos
Kidder, Peabody & CO., IncorporatedBroker
April 1975 - May 1978 · 3 yrs 1 mo
Shields Model Roland IncorporatedBroker
September 1972 - April 1975 · 2 yrs 7 mos
Goldman, Sachs & CO.Broker
October 1965 - October 1972 · 7 yrs
State Registrations52 states
AKALAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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