Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy K Murphy is a financial advisor with over 20 years of experience in the industry. Tracy has a Series 66, Series 10, Series 9, Series 3, Series 7, and SIE license. Tracy currently works for Merrill Lynch, Pierce, Fenner & Smith Inc. with offices in San Francisco, California, Bellevue, Washington, and Mill Valley, California. Tracy is registered in 53 states and Washington D.C. for broker-dealer activities, in 3 states for Investment Advisor Representative activities. Tracy has a long history of success providing financial advice to individuals, high-net-worth individuals, corporations, insurance companies, charitable organizations, pension and profit-sharing plans, state and municipal governments. Tracy has a strong understanding of the financial markets and is dedicated to helping clients reach their financial goals.
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
03/15/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
BOTH
Issued 02/25/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/19/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/06/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/2013
Series 3 - National Commodity Futures Examination
BC
Issued 09/26/2000
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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