DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Traci Beth Havens
Feed of 09/14/2026
Also filed as Traci B Havens
At current firm
0 y
since Jul 15, 2026
In the industry
27 y
since Dec 1, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James & Associates, Inc. national BD currentsince Jul 15, 2026 · Palm Beach Gardens, Fl
- Truist Advisory Services, Inc. BD affiliatedAug 18, 2016 to Jul 20, 2026 · Palm Beach, Fl
- Suntrust Investment Services, Inc. formerAug 27, 2013 to Dec 31, 2016 · Palm Beach, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 25, 2012 to Aug 20, 2013 · Palm Beach Gardens, Fl
- Charles Schwab & Co., Inc. national BDNov 1, 2000 to Apr 4, 2012 · West Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- Truist Advisory Services, Inc. to Raymond James & Associates, Inc.left Jul 20, 2026, registered Jul 15, 2026 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- Suntrust Investment Services, Inc. to Truist Advisory Services, Inc.left Dec 31, 2016, registered Aug 18, 2016 (-135 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Suntrust Investment Services, Inc.left Aug 20, 2013, registered Aug 27, 2013 (7 days) · Other
- Charles Schwab & Co., Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 4, 2012, registered May 25, 2012 (51 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Traci Beth Havens left Truist Advisory Services, Inc. for Raymond James & Associates, Inc. (registered 2026-07-15)Jul 20, 2026 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address