Tracy Anton
About Tracy Anton
Tracy Anton serves as the Director and Supervisory Officer at UBS in Cleveland, Ohio, a position she has held since 2023. With extensive experience in financial supervision and a strong educational background, she has previously worked in various roles at Merrill Lynch, PNC Investments, and other financial institutions.
Work at UBS
Tracy Anton has been serving as the Director, Supervisory Officer at UBS since 2023. In this role, she is based in Cleveland, Ohio, where she oversees supervisory functions within the organization. Her responsibilities include ensuring compliance with financial regulations and managing supervisory processes to maintain organizational integrity.
Education and Expertise
Tracy Anton earned a Bachelor of Science degree from Ohio University. Her educational background, combined with extensive professional experience, has equipped her with a solid foundation in financial services and regulatory compliance. She possesses a comprehensive set of registered series licenses, including Series 4, 7, 24, 53, 63, and 65, which reflects her broad financial regulatory knowledge.
Professional Background
Tracy Anton has a diverse professional history in the financial services sector. Prior to her current role at UBS, she worked at Merrill Lynch as the Vice President Market Supervision Manager from 2019 to 2023. She also held positions at PNC Investments, Securities America Inc., and Concorde Investment Services, where she focused on supervisory roles and market management.
Achievements in Supervision and Management
Throughout her career, Tracy Anton has demonstrated strategic thinking skills essential for effective project management. She has experience in coaching and development, showcasing her ability to mentor team members. Additionally, her strong background in budget development and management indicates proficiency in financial planning and resource allocation.
Licenses and Certifications
Tracy Anton holds a Notary Ohio Life License, which complements her expertise in compliance and audit functions. Her extensive range of registered series licenses further emphasizes her qualifications in the financial services industry, enabling her to navigate complex regulatory environments effectively.