Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Newman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. in Stuart, FL. Tracy has been in the industry since September 19, 2006, and has held licenses in both Florida and Texas. Tracy has a diverse background, having worked for a number of firms including Morgan Stanley and Signator Investors, Inc. Previously, Tracy was a registered representative and a General Securities Principal with a focus on providing portfolio management for both businesses and individuals. Tracy has a broad range of experience and is well-equipped to provide customized financial advice to meet the needs of a variety of clients.
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
FL
02/22/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
12/20/2012 - 02/28/2017
MORGAN STANLEY (Palm Beach Gardens FL)
MA
08/27/2002 - 01/13/2004
SIGNATOR INVESTORS, INC. (BOSTON MA)
CA
08/03/2001 - 08/09/2002
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
10/03/2000 - 06/06/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
08/19/1999 - 09/07/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MA
08/04/1999 - 09/07/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
07/07/1997 - 08/24/1999
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
07/07/1997 - 08/24/1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 3/4/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/29/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/2012
Series 7 - General Securities Representative Examination
BC
Issued 6/20/1997
Series 6 - Investment Company Products/Variable Contracts 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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