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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

TRACEY L STORY

Advisor at OSAIC WEALTH, INC.

SAN FRANCISCO, CA | DALY CITY, CA

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Search this name across graphsid dfx:ria:47dd500f-b811-5368-fb40-ca578ff1bbac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 18, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 1, 2002
First registration: Mar 18, 2002
Dual registered: yes, broker-dealer
Other names: TRACEY LYNN RHORER|TRACEY LYNN PERRY
IAPD individual key: 4466489

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Aug 18, 2025	n/a	yes	DALY CITY, CA\|SAN FRANCISCO, CA	Current employment
CULLEN FINANCIAL ADVISORS	n/a	Jul 10, 2017	Jul 15, 2025	no	SAN FRANCISCO, CA	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Jun 20, 2017	Aug 2, 2017	no	SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 12, 2017	no	Palo Alto, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 23, 2006	Jun 1, 2009	no	PALO ALTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 18, 2002	Jan 10, 2006	no	SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CULLEN FINANCIAL ADVISORS	OSAIC WEALTH, INC.	Jul 15, 2025	Aug 18, 2025	34	Firm change	Other
SAGEPOINT FINANCIAL, INC.	CULLEN FINANCIAL ADVISORS	Aug 2, 2017	Jul 10, 2017	-23	Firm change	Other
MORGAN STANLEY	SAGEPOINT FINANCIAL, INC.	Jun 12, 2017	Jun 20, 2017	8	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Jan 10, 2006	Jan 23, 2006	13	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
135541:23131:CA:2025-07-15	Jul 15, 2025	Aug 18, 2025	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (6)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Aug 18, 2025 to presentfactForm ADV
→ CULLEN FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jul 10, 2017 to Jul 15, 2025factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Jun 20, 2017 to Aug 2, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 12, 2017factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 23, 2006 to Jun 1, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 18, 2002 to Jan 10, 2006factForm ADV

Dated events

Occurred
Jul 15, 2025
Advisor changed firm
Tracey L Story left Cullen Financial Advisors for Osaic Wealth, Inc. (registered 2025-08-18)
Form ADVobserved 4 days ago