David Tracey has been Member and Investment Adviser of Pathway Financial Advisers since January 2019, is a control person of the firm and directly owns between 25% and 50% of it. David Tracey holds a BS in Finance with a minor in Economics from Manchester University, an MBA from Doermer School of Business, Indiana University Fort Wayne and a Certificate in Financial Planning from Bryant University.
Pathway Financial Advisers, LLC is an Auburn, IN firm with $524M under management, 822 clients and 6 advisers in one office, as of its March 2026 filing.
David Tracey is a partner and investment adviser at Pathway Financial Advisers, LLC. He has been managing investments for over 17 years, including work at a private equity firm assisting with mergers and acquisitions and nine years in the trust department of a regional bank managing investments. He helps clients invest toward retirement and building a legacy of wealth.
David Tracey’s longest registration is the current one, 8 years at Pathway Financial Advisers since 2017. Before joining Pathway Financial Advisers in 2017, David Tracey was registered through Primevest Financial Services, Inc.
- – present · 8 yearsAuburn, IN · Adviser representative · Firm CRD 166237
- Primevest Financial Services, Inc.– · 2 yearsFort Wayne, IN · Adviser representative · Firm CRD 15340
Professional designations
Listed by Pathway Financial Advisers
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
David Tracey is registered as an investment adviser representative in 2 states. Each was approved in December 2017.
- IndianaSince 13 December 2017
- TexasSince 13 December 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 17 September 2009 |
| Series 7 | General Securities Representative Examination | 19 June 2009 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Reynolds Tracey
- CRD
- 5222875
- Firm
- Pathway Financial Advisers · CRD 166237
- Role
- Member and Investment Adviser
- Office
- 4571 COUNTY ROAD 35, Auburn, IN 46706
- Registration
- Investment adviser registration
- In the industry since
- March 2015
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pathwayria.com
Where does David Tracey work?
David Tracey has been Member and Investment Adviser of Pathway Financial Advisers, LLC since January 2019, and is a control person of the firm.
Is David Tracey a financial advisor?
Yes. David Tracey has a current investment-adviser registration in Indiana and Texas, through Pathway Financial Advisers since December 2017.
How many years of experience does David Tracey have?
David Tracey has 11 years in the financial industry, since March 2015, across 2 adviser firms.
What exams has David Tracey passed?
David Tracey has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2009.
Where did David Tracey work before Pathway Financial Advisers?
Before Pathway Financial Advisers, David Tracey was registered through Primevest Financial Services, Inc., September 2009 to July 2012.
Where is David Tracey based?
David Tracey’s registered office is in Auburn, IN.
Is David Tracey registered with FINRA?
No. David Tracey has no current broker registration.
Is David Tracey a CFP?
Pathway Financial Advisers lists David Tracey with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify David Tracey’s record?
Search CRD 5222875 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Tracey’s full registration record.
