Clifford Tracy has been Vice President of Brown, Lisle/Cummings since January 2022, is a control person of the firm and directly owns between 10% and 25% of it. Clifford Tracy holds a BA in Economics from Northwestern University and an MBA from Emory University Goizueta Business School.
Brown, Lisle/Cummings, Inc. is a Providence, RI firm with $487M under management, 238 clients and 8 advisers in one office, as of its June 2026 filing.
Clifford B. Tracy, Jr. is Partner and Financial Advisor of Brown Lisle Cummings. He has over 30 years of experience in Capital Markets. His specialties include asset and risk management strategies and financial advisory services for retirement plans, and he works with CPAs and attorneys on retirement income, estate planning and business succession solutions.
Professional designations
Listed by Brown, Lisle/Cummings
- Retirement Income Certified Professional® (RICP®)
Investment adviser representative registrations
Clifford Tracy is registered as an investment adviser representative in Rhode Island, since November 2012.
- Rhode IslandSince 28 November 2012
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 24 | General Securities Principal Examination | 15 October 2021 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 27 November 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 January 1991 |
| Series 3 | National Commodity Futures Examination | 14 May 1985 |
| Series 7 | General Securities Representative Examination | 19 November 1983 |
- Name
- Operations Professional Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
- Full name
- Clifford Burrell Tracy
- CRD
- 1213468
- Firm
- Brown, Lisle/Cummings · CRD 1331
- Role
- Vice President
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 1989
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- brownlc.com
Where does Clifford Tracy work?
Clifford Tracy has been Vice President of Brown, Lisle/Cummings, Inc. since January 2022, and is a control person of the firm.
Is Clifford Tracy a financial advisor?
Yes. Clifford Tracy has a current investment-adviser registration in Rhode Island, through Brown, Lisle/Cummings since November 2012.
How many years of experience does Clifford Tracy have?
Clifford Tracy has 37 years in the financial industry, since February 1989, across 1 adviser firm.
What exams has Clifford Tracy passed?
Clifford Tracy has passed 6 licensing exams: the Series 7, Series 3, Series 63, Series 65, Series 24 and Series 99TO. The earliest, the Series 7, was passed in November 1983. FINRA credited Clifford Tracy with the SIE, which began in October 2018.
Is Clifford Tracy registered with FINRA?
Yes. Clifford Tracy has a current broker registration, under CRD 1213468.
Source: FINRA BrokerCheck
How can I verify Clifford Tracy’s record?
Search CRD 1213468 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Clifford Tracy’s full registration record.