Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Cooper is a financial advisor with over 17 years of experience in the industry. Tracy is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Tracy is also registered with the state of Florida and Texas. Tracy has previously worked with Brokers International Financial Services, LLC., USA Financial Securities Corporation, Southeast Investments, N.C., Inc., and Kovack Securities Inc. Tracy has a variety of credentials, including Series 63, Series 66, Series 7, Series 9, Series 10, and SIE. Tracy provides services to individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, charitable organizations, investment companies, insurance companies, banking or thrift institutions, and state or municipal government entities.
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
NY
11/07/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
FL
03/12/2009 - 10/03/2011
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (BOYNTON BEACH FL)
FL
12/13/2007 - 03/11/2009
USA FINANCIAL SECURITIES CORPORATION (BOYNTON BEACH FL)
NC
08/21/2007 - 11/28/2007
SOUTHEAST INVESTMENTS, N.C., INC. (CHARLOTTE NC)
FL
01/01/2006 - 04/17/2007
KOVACK SECURITIES INC. (BOYNTON BEACH FL)
MO
06/04/2003 - 08/12/2004
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 02/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/22/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2003
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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