Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy L Johnson is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Tracy has been in the industry since January 7, 2002. Tracy is licensed to provide investment advice in Connecticut, Rhode Island, and Texas. In addition to Tracy's current position at Merrill Lynch, Tracy was previously registered with BlackRock Investments, Inc. and FAM Distributors, Inc. Tracy holds the Series 6, 7, 63 and 65 licenses. Tracy also has a booth at an antique mall that is filled with vintage/up-cycled items and refinished furniture.
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
MA
06/19/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
NY
09/29/2006 - 03/05/2007
BLACKROCK INVESTMENTS, INC. (NEW YORK NY)
NY
01/08/2002 - 09/29/2006
FAM DISTRIBUTORS, INC. (NEW YORK NY)
IA
Issued 12/01/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/25/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2002
Series 7 - General Securities Representative Examination
BC
Issued 11/02/2000
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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