Tracy Sullivan has been an investment adviser representative at Compass Retirement Group since July 2026, and is not listed among the firm’s executive officers or direct owners. Tracy Sullivan holds a Bachelor's degrees in Science and Arts from the University of Missouri-Columbia and an MBA from NYIT.
Compass Retirement Group LLC is a St. Louis, MO firm with $112M under management, 766 clients and 7 advisers across 2 offices, as of its August 2026 filing.
Tracy Sullivan is a Wealth Advisor with Compass Retirement Solutions. Before becoming a Wealth Advisor, she spent more than 20 years leading people-focused teams in healthcare, hospitality and nonprofit organizations. Her credentials include behavioral finance, life and health insurance, and yoga instruction.
Tracy Sullivan’s longest registration was 1 year at Edward Jones (2025–2026). Before joining Compass Retirement Group in 2026, Tracy Sullivan was registered through Edward Jones.
- Compass WealthCurrent– present · under a yearSt. Louis, MO · Adviser representative · Firm CRD 282420
- Edward Jones– · 1 yearChesterfield, MO · Adviser representative · Firm CRD 250
Investment adviser representative registrations
Tracy Sullivan is registered as an investment adviser representative in Missouri, since July 2026.
- MissouriSince 22 July 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 27 May 2025 |
| Series 7TO | General Securities Representative Examination | 22 April 2025 |
| SIE | Securities Industry Essentials Examination | 14 March 2025 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Tracy Lynn Sullivan
- CRD
- 6904866
- Firm
- Compass Retirement Group · CRD 282420
- Office
- 10326 OLD OLIVE STREET ROAD, St. Louis, MO 63141
- Registration
- Investment adviser registration
- In the industry since
- May 2025
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- compassretirementsolutions.com
Where does Tracy Sullivan work?
Tracy Sullivan is an investment adviser representative registered through Compass Retirement Group LLC since July 2026, and is not listed among the firm’s executive officers or direct owners.
Is Tracy Sullivan a financial advisor?
Yes. Tracy Sullivan has a current investment-adviser registration in Missouri, through Compass Retirement Group since July 2026.
How many years of experience does Tracy Sullivan have?
Tracy Sullivan has 1 year in the financial industry, since May 2025, across 2 adviser firms.
What exams has Tracy Sullivan passed?
Tracy Sullivan has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in March 2025.
Where did Tracy Sullivan work before Compass Retirement Group?
Before Compass Retirement Group, Tracy Sullivan was registered through Edward Jones, May 2025 to July 2026.
Where is Tracy Sullivan based?
Tracy Sullivan’s registered office is in St. Louis, MO.
Is Tracy Sullivan registered with FINRA?
No. Tracy Sullivan has no current broker registration.
How can I verify Tracy Sullivan’s record?
Search CRD 6904866 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tracy Sullivan’s full registration record.
