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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn David Tracy (david) is a financial advisor with over 25 years of experience in the industry. John David Tracy (david) is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. John David Tracy (david) has also been previously registered with Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co. and Morgan Stanley & Co., Incorporated. John David Tracy (david) is licensed to offer investment advice and services in several states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
03/27/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
03/28/2008 - 04/16/2014
CREDIT SUISSE SECURITIES (USA) LLC (LOS ANGELES CA)
NY
10/13/1998 - 04/17/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
08/23/1994 - 10/13/1998
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
IA
Issued 09/19/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/1994
Series 3 - National Commodity Futures Examination
BC
Issued 08/22/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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