Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Buik is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Red Bank, NJ. Tracy has been in the industry since 1994 and has worked with firms such as Morgan Stanley, UBS Financial Services Inc., and Smith Barney, Harris Upham & Co., Incorporated. Tracy is a licensed broker and holds the Series 3, Series 7, and Series 66 licenses. Tracy offers advisory services and portfolio management services for both individuals and businesses. Tracy also has extensive experience in working with pension and profit-sharing plans.
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
05/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RED BANK NJ)
NY
06/01/2009 - 06/04/2015
MORGAN STANLEY (NEW YORK NY)
NY
06/16/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NJ
10/18/1999 - 06/09/2008
UBS FINANCIAL SERVICES INC. (EDISON NJ)
NA
05/22/1989 - 09/06/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
01/14/1988 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
06/20/1984 - 02/19/1988
SHEARSON LEHMAN HUTTON INC.
BOTH
Issued 09/12/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/10/1986
Series 3 - National Commodity Futures 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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