Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Horne has been in the financial industry since 1996 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. Previously, Tracy Horne worked for SunTrust Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tracy Horne has passed the Uniform Securities Agent State Law Examination, the Uniform Investment Adviser Law Examination, the Securities Industry Essentials Examination and the General Securities Representative Examination. Tracy Horne is registered in Alabama, Colorado, Florida, Georgia, Massachusetts, Mississippi, North Carolina, Pennsylvania, Tennessee and Texas. Tracy Horne specializes in providing services to high-net-worth individuals, corporations or other businesses, pension and profit-sharing plans, charitable organizations, insurance companies, 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
AL
01/20/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MONTGOMERY AL)
GA
01/13/1998 - 04/01/1999
SUNTRUST SECURITIES, INC. (ATLANTA GA)
NY
09/04/1996 - 01/14/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/25/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1996
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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