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Tracey Stofa

Managing Director, Head of Private Client Group at Fort Washington Investment Advisors

Investment adviser and broker registrationsCincinnati, OHSEC record checked 18 October 2026

18
Years in the industry
3
Years at the firm
3
Adviser firms
1
State registrations

IAPD record retrieved 18 October 2026SEC record

Tracey Stofa is Managing Director, Head of Private Client Group of Fort Washington Investment Advisors Inc, a Cincinnati investment adviser managing $93.5B. Tracey Stofa has been registered through Fort Washington Investment Advisors since 14 November 2022, has 18 years in the industry across 3 firms and has passed 5 licensing exams.

Role at Fort Washington Investment Advisors

Title on Schedule A
Managing Director, Head of Private Client Group
Control
Tracey Stofa is a control person of Fort Washington Investment Advisors.
Ownership
An individual ownership band is not available in the source record.
Tenure
Tracey Stofa has held the filed role since July 2022.

The firm

Fort Washington Investment Advisors Inc
Cincinnati, OH

Form ADV filed 23 June 2026

$93.5B AUM755 clients72 advisers3 offices

Career on record

Tracey Stofa has been registered through Fort Washington Investment Advisors since November 2022, and before that through Morgan Stanley and Citigroup Global Markets Inc..

Firms and exams, newest first
  1. Fort Washington Investment Advisors IncCurrent
    – present · 4 years
    Cincinnati, OH · Adviser representative · Firm CRD 107126
  2. Passed SIE · 2018
  3. Passed Series 9 and Series 10 · 2016
  4. Morgan Stanley
    – · 13 years
    Cincinnati, OH · Adviser representative · Firm CRD 149777
  5. Citigroup Global Markets Inc.
    – · 1 year
    Cincinnati, OH · Adviser representative · Firm CRD 7059
  6. Passed Series 7 and Series 66 · 2008

Registrations and exams

Tracey Stofa has a current investment-adviser registration in Ohio and has passed 5 qualifying exams.

Ohio14 November 2022
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6617 April 2008
Name
Uniform Combined State Law Examination
Series 1022 March 2016
Name
General Securities Sales Supervisor - General Module Examination
Series 925 January 2016
Name
General Securities Sales Supervisor - Options Module Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 72 April 2008
Name
General Securities Representative Examination

Individual record

Full name
Tracey Marie Stofa
CRD
5489347
Firm
Fort Washington Investment Advisors Inc
Registration status
Investment adviser and broker registrations
Office
303 BROADWAY, SUITE 1200, Cincinnati, OH 45202
Firm bio
westernsouthern.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Tracey Stofa is Managing Director and Head of Fort Washington’s Private Client Group. Her prior roles include Morgan Stanley, Clear Channel Radio, Henkel-Emery Oleochemicals and PNC Bank. Official firm biography

Education

Common questions

Where does Tracey Stofa work?

Tracey Stofa has been Managing Director, Head of Private Client Group of Fort Washington Investment Advisors Inc since July 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 23 June 2026

Is Tracey Stofa a financial advisor?

Yes. Tracey Stofa has a current investment-adviser registration in Ohio, through Fort Washington Investment Advisors since November 2022, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

How many years of experience does Tracey Stofa have?

Tracey Stofa has worked in the financial industry for 18 years as of 18 October 2026, counted from 15 May 2008, across 3 adviser firms.

Source: IAPD individual record, checked 18 October 2026

What exams has Tracey Stofa passed?

Tracey Stofa has passed 5 licensing exams: the Series 7, Series 66, Series 9, Series 10 and SIE. The earliest, the Series 7, was passed in April 2008.

Source: IAPD individual record, checked 18 October 2026

Where did Tracey Stofa work before Fort Washington Investment Advisors?

Before Fort Washington Investment Advisors, Tracey Stofa was registered through Morgan Stanley, June 2009 to August 2022; Citigroup Global Markets Inc., April 2008 to June 2009.

Source: IAPD individual record, checked 18 October 2026

Where is Tracey Stofa based?

Tracey Stofa’s registered office is in Cincinnati, OH.

Source: IAPD individual record, checked 18 October 2026

Leadership at Fort Washington Investment Advisors

Sources

  1. IAPD individual record, CRD 5489347. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Fort Washington Investment Advisors Inc, filed 23 June 2026. Title, control and ownership bands.
  3. Fort Washington Investment Advisors team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Tracey Stofa or Fort Washington Investment Advisors Inc and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.