Tracy Germano has been an investment adviser representative at Formidable Asset Management since October 2022, and is not listed among the firm’s executive officers or direct owners.
Formidable Asset Management, LLC is a Cincinnati, OH firm with $903M under management, 900 clients and 14 advisers across 4 offices, as of its August 2026 filing.
Tracy Germano’s longest registration was 9 years at Raymond James & Associates, Inc. (2013–2022). Before joining Formidable Asset Management in 2022, Tracy Germano was registered through Raymond James & Associates, Inc. and Wells Fargo Advisors, LLC.
- – present · 4 yearsVero Beach, FL · Adviser representative · Firm CRD 167555
- Raymond James & Associates, Inc.– · 9 yearsVero Beach, FL · Adviser representative · Firm CRD 705
- Wells Fargo Advisors, LLC– · 4 yearsSebastian, FL · Adviser representative · Firm CRD 19616
Investment adviser representative registrations
Tracy Germano is registered as an investment adviser representative in 2 states. The first approvals date from October 2022; the most recent is Florida, in November 2022.
- FloridaSince 9 November 2022
- OhioSince 7 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 8 June 2009 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 7 April 2009 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 8 December 2008 |
| Series 66 | Uniform Combined State Law Examination | 13 October 2008 |
| Series 7 | General Securities Representative Examination | 21 April 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tracy Lynn Germano
- CRD
- 1748857
- Firm
- Formidable Asset Management · CRD 167555
- Office
- Vero Beach, FL
- Registration
- Investment adviser registration
- In the industry since
- May 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Tracy Germano work?
Tracy Germano is an investment adviser representative registered through Formidable Asset Management, LLC since October 2022, and is not listed among the firm’s executive officers or direct owners.
Is Tracy Germano a financial advisor?
Yes. Tracy Germano has a current investment-adviser registration in Florida and Ohio, through Formidable Asset Management since October 2022.
How many years of experience does Tracy Germano have?
Tracy Germano has 25 years in the financial industry, since May 2001, across 3 adviser firms.
What exams has Tracy Germano passed?
Tracy Germano has passed 5 licensing exams: the Series 7, Series 66, Series 9, Series 10 and Series 31. The earliest, the Series 7, was passed in April 2001. FINRA credited Tracy Germano with the SIE, which began in October 2018.
Where did Tracy Germano work before Formidable Asset Management?
Before Formidable Asset Management, Tracy Germano was registered through Wells Fargo Advisors, LLC, October 2008 to March 2013.
Where is Tracy Germano based?
Tracy Germano’s registered office is in Vero Beach, FL.
Is Tracy Germano registered with FINRA?
No. Tracy Germano has no current broker registration.
How can I verify Tracy Germano’s record?
Search CRD 1748857 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tracy Germano’s full registration record.
