Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Montgomery is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Manasquan, NJ. Tracy is a highly experienced advisor with over 26 years in the industry, specializing in providing investment advice to a diverse range of clients, including high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. Tracy holds Series 7, Series 63, and Series 66 licenses. Tracy offers a variety of services to clients including portfolio management, educational seminars, and selection of other advisors. Tracy is also a member of the board of directors of a family estate, a position they have held for over 13 years.
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
NJ
08/11/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MANASQUAN NJ)
BOTH
Issued 11/14/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2000
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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