Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Tracy Ann Newman
TRACY NEWMAN LIVINGSTONE, TRACY ANN NEWMAN, Tracy Newman
CRD#: 2903374
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2301 SE MONTEREY RD
STUART, FL 34996
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1999 (2 years)2 FIRMS1999 - 2000 (1 year)2 FIRMS2017 - Present (8 years)BMORGAN STANLEY (CRD# 149777)2012 - 2017 (4 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2002 - 2004 (1 year)BWALNUT STREET SECURITIES, INC. (CRD# 15840)2001 - 2002 (1 year)BNYLIFE SECURITIES INC. (CRD# 5167)2000 - 2001 (<1 year)IAMORGAN STANLEY (CRD# 149777)2013 - 2017 (3 years)
License(s)

State Registrations

B
Alabama 5/16/2023
B
Maine 5/16/2023
B
Alaska 5/16/2023
B
Maryland 1/14/2025
B
Arizona 2/22/2017
B
Massachusetts 3/9/2017
B
Arkansas 2/22/2017
B
Michigan 2/24/2017
B
California 2/22/2017
B
New Jersey 2/21/2017
B
Colorado 1/14/2025
B
New York 2/23/2017
B
Connecticut 2/21/2017
B
North Carolina 3/7/2017
B
Delaware 1/14/2025
B
Pennsylvania 2/22/2017
B
Florida 2/10/2017
B
Rhode Island 5/16/2023
IA
Florida 2/10/2017
B
South Carolina 3/9/2017
B
Georgia 2/27/2017
IA
Texas 2/22/2017
B
Hawaii 2/21/2017
B
Utah 2/22/2017
B
Illinois 1/15/2025
B
Vermont 2/23/2017
B
Indiana 1/14/2025
B
Virginia 2/21/2017
B
Iowa 1/14/2025
B
Washington 2/28/2017
B
Louisiana 1/14/2025
B
Wisconsin 12/11/2017

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2301 SE MONTEREY RD, STUART, FL 34996
Registered with this firm since 2/10/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2301 SE MONTEREY RD, STUART, FL 34996
Registered with this firm since 2/9/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/07/2013 - 02/28/2017 MORGAN STANLEY (CRD#:149777) Palm Beach Gardens, FL
B
 12/20/2012 - 02/28/2017 MORGAN STANLEY (CRD#:149777) Palm Beach Gardens, FL
B
 08/27/2002 - 01/13/2004 SIGNATOR INVESTORS, INC. (CRD#:468) BOSTON, MA
B
 08/03/2001 - 08/09/2002 WALNUT STREET SECURITIES, INC. (CRD#:15840) EL SEGUNDO, CA
B
 10/03/2000 - 06/06/2001 NYLIFE SECURITIES INC. (CRD#:5167) NEW YORK, NY
B
 08/19/1999 - 09/07/2000 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
 08/04/1999 - 09/07/2000 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 07/07/1997 - 08/24/1999 EQ FINANCIAL CONSULTANTS, INC. (CRD#:6627) NEW YORK, NY
B
 07/07/1997 - 08/24/1999 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.