DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

TRACY DIANE GANGONE

Advisor at ROBERT W. BAIRD & CO. INCORPORATED

Knoxville, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:93f931ab-ab70-3a9a-746d-e7af1d328e96

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Sep 14, 2000 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: ROBERT W. BAIRD & CO. INCORPORATED
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 14, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 1, 2001
First registration: Sep 14, 2000
Dual registered: yes, broker-dealer
Other names: TRACY DIANE PRUETT
IAPD individual key: 1073891

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
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Oct 18, 2019	n/a	yes	Knoxville, TN	Current employment
J.J.B. HILLIARD, W.L. LYONS, LLC	Former SEC adviser	Sep 10, 2014	Oct 18, 2019	no	KNOXVILLE, TN	Previous registration
PATRIOT INVESTMENT MANAGEMENT GROUP INC	Independent wealth	May 20, 2014	Sep 5, 2014	no	KNOXVILLE, TN	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Jun 25, 2013	Nov 14, 2013	no	KNOXVILLE, TN\|SARASOTA, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 11, 2011	Apr 16, 2013	no	KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Jun 7, 2005	no	PALM BEACH, FL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Sep 14, 2000	Jul 1, 2003	no	PALM BEACH, FL	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
J.J.B. HILLIARD, W.L. LYONS, LLC	ROBERT W. BAIRD & CO. INCORPORATED	Oct 18, 2019	Oct 18, 2019	0	Bulk transfer	RIA to RIA
PATRIOT INVESTMENT MANAGEMENT GROUP INC	J.J.B. HILLIARD, W.L. LYONS, LLC	Sep 5, 2014	Sep 10, 2014	5	Firm change	Other
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	PATRIOT INVESTMENT MANAGEMENT GROUP INC	Nov 14, 2013	May 20, 2014	187	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Apr 16, 2013	Jun 25, 2013	70	Firm change	Other
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Jun 7, 2005	Oct 11, 2011	2,317	Firm change after gap	Wirehouse to ibd
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (7)

→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: current employment
Oct 18, 2019 to presentfactForm ADV
→ J.J.B. HILLIARD, W.L. LYONS, LLCRegistered adviserregistration: previous registration
Sep 10, 2014 to Oct 18, 2019factForm ADV
→ PATRIOT INVESTMENT MANAGEMENT GROUP INCRegistered adviserregistration: previous registration
May 20, 2014 to Sep 5, 2014factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Jun 25, 2013 to Nov 14, 2013factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 11, 2011 to Apr 16, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Jun 7, 2005factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Sep 14, 2000 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.