Haselkorn & Thibaut has opened an investigation into Colleen Bracy (CRD# 6786615), currently registered as an Investment Adviser at Robinswood Financial in Kirkland, Washington. This report provides investors with a detailed summary of Ms. Bracy’s professional history, past complaints, and what you need to know if you have worked with her as your advisor. If you have any concerns or may have suffered losses, Haselkorn & Thibaut offers a free consultation and can discuss your options confidentially at 1 888-885-7162.
Who is Colleen Bracy? Background and Experience in Kirkland, WA
Table of Contents
Colleen Marie Bracy, also known as Colleen Marie Herr, has worked in the financial services industry for over six years. She began her career as a broker with Edward Jones, a nationally recognized broker-dealer, serving clients in Lynnwood, WA from June 2017 to May 2024. After nearly seven years as a broker, Ms. Bracy transitioned to Robinswood Financial in May 2024, where she is now an active Investment Adviser working from Kirkland, WA. Her career shift reflects a move from a strictly brokerage capacity to serving as a fiduciary investment advisor.
Professional Summary Table
| Full Name | Colleen Marie Bracy |
|---|---|
| Also Known As | Colleen Marie Herr |
| CRD Number | 6786615 |
| Current Firm | Robinswood Financial (CRD# 143417) |
| Location | Kirkland, WA 98033 |
| Employment History | Edward Jones (Lynnwood, WA) Robinswood Financial (Kirkland, WA) |
| Years of Experience | 6+ |
| Current Status | Investment Adviser |
| Total Disclosures | 1 |
Complaints & Disclosure Overview
Colleen Bracy has one customer complaint disclosed on her regulatory history. Understanding the details of this complaint is crucial for investors evaluating her trustworthiness, transparency, and suitability as an advisor.
Detailed Complaint History
- Date Filed: November 6, 2024
- Narrative: The client alleged that Ms. Bracy failed to properly disclose or advise them about transfer limitations on 529 college savings plan accounts.
- Damages Requested: $7,200
- Settlement Amount: $1,200
- Regulatory Status: Settled (as reflected in FINRA’s BrokerCheck database)
- Product Type: Not specified
This single customer dispute was resolved for significantly less than the original damage demand. While all advisors can occasionally face disputes, it is important for investors to understand the context and outcomes of any complaint.
What Do These Disclosures Mean for Investors?
- No regulatory actions have been taken against Ms. Bracy or her licenses—this is a positive sign for her compliance history.
- Her only disclosure was a customer dispute regarding advice on a 529 plan transfer. The issue was resolved amicably.
- No bars or exclusions are flagged on her CRD record.
It’s essential for investors to regularly review their advisor’s history on authoritative sources. If you wish to do your own due diligence, you can visit FINRA BrokerCheck for more details about Colleen Bracy or any other advisor.
Key Points from Colleen Bracy’s Regulatory & Professional Record
- Experience & Tenure: Over six years in the industry, with both broker and adviser roles at reputable firms.
- Clean Regulatory Record: No sanctions, fines, regulatory actions, or license bars.
- Customer Complaint: One complaint, settled for $1,200 on a $7,200 claim, regarding 529 plan advice.
- Transition to Adviser: Now operating as an Investment Adviser at Robinswood Financial in Kirkland, WA.
- Continuous Employment: No gaps in her professional history since 2017.
- Transparency: Disclosure was reported and resolved as required by FINRA guidelines.
Important Guidance for Investors Working with Colleen Bracy & Robinswood Financial
While Colleen Bracy’s regulatory record is generally clean, with just one minor customer dispute settled amicably, it is always prudent to stay proactive. If you have experienced communication lapses or were not properly advised about the characteristics or limitations of investment products, especially 529 plans or similar accounts, you may wish to review your documentation and ask questions.
Transparency matters. Even one complaint can signal the importance of reviewing your account history—especially if your own situation seems similar to disclosed issues. Investors who feel their interests or instructions were not followed have rights and available legal recourse.
Why Contact Haselkorn & Thibaut?
Haselkorn & Thibaut is a national investment fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients. They offer free, confidential consultations for investors with concerns about Colleen Bracy, Robinswood Financial, or any investments overseen during her tenure at Edward Jones.
- No recovery, no fee: You pay nothing unless compensation is achieved for you.
- Direct, personalized review of your situation by securities fraud attorneys.
- Guidance on whether your loss is recoverable, and how to proceed if it is.
If you have worked with Colleen Bracy at Edward Jones in Lynnwood, WA, or Robinswood Financial in Kirkland, WA, and have questions about your investments or account handling, call Haselkorn & Thibaut at 1 888-885-7162 for a free consultation. The review is confidential, and your information is protected. Don’t hesitate to get answers and the support you deserve.
