Tracey Nobles has been an investment adviser representative at Tradewinds since February 2022, and is not listed among the firm’s executive officers or direct owners.
Tradewinds, LLC is a Raleigh, NC firm with $659M under management, 505 clients and 9 advisers in one office, as of its March 2026 filing.
Tracey Nobles’ longest registration was 10 years at Wells Fargo Clearing Services, LLC (2011–2022). Before joining Tradewinds in 2022, Tracey Nobles was registered through Wells Fargo Clearing Services, LLC.
- Wells Fargo Clearing Services, LLC– · 10 yearsRaleigh, NC · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Tracey Nobles is registered as an investment adviser representative in North Carolina, since February 2022.
- North CarolinaSince 4 February 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 17 November 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 September 1999 |
| Series 7 | General Securities Representative Examination | 2 September 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tracey Lynn Nobles
- CRD
- 2794755
- Firm
- Tradewinds · CRD 316415
- Office
- 4600 MARRIOTT DR., SUITE 200, Raleigh, NC 27612
- Registration
- Investment adviser registration
- In the industry since
- September 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Tracey Nobles work?
Tracey Nobles is an investment adviser representative registered through Tradewinds, LLC since February 2022, and is not listed among the firm’s executive officers or direct owners.
Is Tracey Nobles a financial advisor?
Yes. Tracey Nobles has a current investment-adviser registration in North Carolina, through Tradewinds since February 2022.
How many years of experience does Tracey Nobles have?
Tracey Nobles has 27 years in the financial industry, since September 1999, across 2 adviser firms.
What exams has Tracey Nobles passed?
Tracey Nobles has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in September 1999. FINRA credited Tracey Nobles with the SIE, which began in October 2018.
Where did Tracey Nobles work before Tradewinds?
Before Tradewinds, Tracey Nobles was registered through Wells Fargo Clearing Services, LLC, May 2011 to January 2022.
Where is Tracey Nobles based?
Tracey Nobles’ registered office is in Raleigh, NC.
Is Tracey Nobles registered with FINRA?
No. Tracey Nobles has no current broker registration.
How can I verify Tracey Nobles’ record?
Search CRD 2794755 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tracey Nobles’ full registration record.
