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Tracey Marie Simonson

Investment Adviser Representative at FOCUS FINANCIAL

North Branch, MNCRD #1849487Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
37 yrs
States Registered
19 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 19 states
AlabamaArizonaColoradoFloridaGeorgiaHawaiiIdahoIowaMinnesotaMontanaNebraskaNew JerseyNorth DakotaSouth DakotaTennesseeTexasWashingtonWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/25/1995
Series 63
Uniform Securities Agent State Law Examination
Passed 7/26/1988
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 6/16/1992
Series 7
General Securities Representative Examination
Passed 7/16/1988

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Focus Financial Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FOCUS FINANCIALCurrent
5/4/2009North Branch, MN
INVESTMENT CENTERS OF AMERICA, INC.
8/7/19975/8/2009North Branch, MN

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Tracey Marie Simonson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.