Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracey? Claim Your ProfileTracey Bierman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Tracey has been in the industry since 1998 and holds licenses in several states including New York, Connecticut, and Texas. Tracey's experience includes working for other firms such as Wells Fargo Advisors, LLC, Morgan Stanley & Co. Incorporated, and RBC Capital Markets Corporation. Tracey specializes in various areas including Retirement Planning, Investment Advisory, Mutual Funds, Annuities, and Stocks.
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.
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2
NY
03/20/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREAT NECK NY)
NY
05/30/2008 - 02/28/2012
WELLS FARGO ADVISORS, LLC (NEW YORK NY)
NY
04/02/2007 - 06/02/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
06/06/2005 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
11/01/2004 - 12/31/2004
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
07/16/2002 - 11/02/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
08/31/1999 - 07/11/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/01/1998 - 07/23/1999
ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)
NY
01/13/1998 - 05/19/1998
E. C. CAPITAL, LTD. (MINEOLA NY)
CA
10/06/1997 - 12/31/1997
LA JOLLA CAPITAL CORPORATION (SAN DIEGO CA)
IA
Issued 12/05/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/1997
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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