Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Lynn Martin is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 20 years of experience in the financial industry. Tracy has held previous positions at J.P. Morgan Securities LLC, Morgan Stanley, Mercer Allied Company, L.P. and First Investors Corporation. Tracy is licensed to conduct business in multiple states, including Arizona, California, Colorado, Idaho, Illinois, Maryland, Michigan, New York, North Carolina, Oregon, Tennessee, Texas, Utah, Washington and West Virginia. Tracy holds the Series 6, 7, 63 and 66 licenses. Tracy specializes in providing investment advice and services to individuals, businesses, and institutions.
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
AZ
04/13/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
AZ
09/23/2014 - 04/02/2022
J.P. MORGAN SECURITIES LLC (SCOTTSDALE AZ)
WV
04/24/2014 - 09/02/2014
MORGAN STANLEY (CHARLESTON WV)
TX
10/03/2013 - 11/06/2013
J.P. MORGAN SECURITIES LLC (DALLAS TX)
CA
08/24/2007 - 03/08/2013
MERCER ALLIED COMPANY, L.P. (IRVINE CA)
PA
06/01/2001 - 03/06/2007
FIRST INVESTORS CORPORATION (CANONSBURG PA)
BOTH
Issued 05/22/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/08/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2007
Series 7 - General Securities Representative Examination
BC
Issued 05/31/2001
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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