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Tracy Ellen Calder
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Profile
Tracy Ellen Calder worked as a Managing Director & Chief Compliance Officer at JPMorgan Securities LLC from 2013 to 2016, as a Chief Risk Officer & Managing Director at LPL Financial Holdings, Inc. from 2016 to 2020, and as a Chief Compliance Officer at UBS Financial Services, Inc. from 2005 to 2012.
Prior to that, she worked as a Principal at PaineWebber, Inc. from 1994 to 2011 and as an Associate at Seward & Kissel LLP.
She also worked as a Senior Vice President at Wells Fargo Clearing Services LLC from 2012 to 2013.
Ms. Calder received an undergraduate degree from Fordham University and a graduate degree from The University of North Carolina at Charlotte.
Former positions of Tracy Ellen Calder
| Companies | Position | End |
|---|---|---|
| LPL FINANCIAL HOLDINGS INC. | Corporate Officer/Principal | 01/04/2020 |
JPMorgan Securities LLC
 JPMorgan Securities LLC Investment Banks/BrokersFinance Provides corporate, investment banking, consumer and commercial banking, asset management, payment & security solutions | Corporate Officer/Principal | 01/01/2016 |
Wells Fargo Clearing Services LLC
 Wells Fargo Clearing Services LLC Investment ManagersFinance WFCS offers a variety of advisory programs. The firm's separately managed programs give clients the flexibility to select a model-based approach to separate account management or to customize a portfolio of individual professional money managers. Their mutual fund advisory programs are designed to help clients take advantage of the expertise of professional money managers through mutual funds or current market trends through ETFs. Through their financial advisor-directed portfolio management programs, a client's Financial Advisor takes on the responsibility of making day-to-day investment decisions. | Corporate Officer/Principal | 01/07/2013 |
UBS Financial Services, Inc.
 UBS Financial Services, Inc. Investment ManagersFinance UBS Financial Services' asset allocations are based on a proprietary methodology. In developing those allocations, the firm considers asset class risk and return results that are based on estimated forward-looking return and risk assumptions, as measured by standard deviation, which are based on UBS proprietary research. The development process includes a review of a variety of factors, including the return, risk, correlations and historical performance of various asset classes, inflation and risk premium. | Corporate Officer/Principal | 01/02/2012 |
PaineWebber, Inc.
 PaineWebber, Inc. Investment Banks/BrokersFinance Provides stock brokerage and asset management services | Corporate Officer/Principal | 01/04/2011 |
Training of Tracy Ellen Calder
Experiences
Positions held
Active
Inactive
Listed companies
Private companies
Connections
97
1st degree connections
8
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 8 |
|---|---|
UBS Financial Services, Inc.
UBS Financial Services, Inc. Investment ManagersFinance UBS Financial Services' asset allocations are based on a proprietary methodology. In developing those allocations, the firm considers asset class risk and return results that are based on estimated forward-looking return and risk assumptions, as measured by standard deviation, which are based on UBS proprietary research. The development process includes a review of a variety of factors, including the return, risk, correlations and historical performance of various asset classes, inflation and risk premium. | Finance |
JPMorgan Securities LLC
JPMorgan Securities LLC Investment Banks/BrokersFinance Provides corporate, investment banking, consumer and commercial banking, asset management, payment & security solutions | Finance |
LPL Financial Holdings, Inc.
 LPL Financial Holdings, Inc. Investment Banks/BrokersFinance Operates as an investment holding company with interests in technology, brokerage and investment advisory services | Finance |
Seward & Kissel LLP
 Seward & Kissel LLP Miscellaneous Commercial ServicesCommercial Services Provides legal services | Commercial Services |
PaineWebber, Inc.
PaineWebber, Inc. Investment Banks/BrokersFinance Provides stock brokerage and asset management services | Finance |
Fordham University
 Fordham University Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
The University of North Carolina at Charlotte
 The University of North Carolina at Charlotte Other Consumer ServicesConsumer Services Functions as a College/University | Consumer Services |
Wells Fargo Clearing Services LLC
Wells Fargo Clearing Services LLC Investment ManagersFinance WFCS offers a variety of advisory programs. The firm's separately managed programs give clients the flexibility to select a model-based approach to separate account management or to customize a portfolio of individual professional money managers. Their mutual fund advisory programs are designed to help clients take advantage of the expertise of professional money managers through mutual funds or current market trends through ETFs. Through their financial advisor-directed portfolio management programs, a client's Financial Advisor takes on the responsibility of making day-to-day investment decisions. | Finance |
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