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Detailed Report
Tracie Marie McCarthy
TRACIE M BURNS, TRACIE MARIE BURNS, TRACIE MARIE PIERCE
CRD#: 2980153
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 250 South Clinton Street
Suite 500
Syracuse, NY 13202
Registration History
20002002200420062008201020122014201620182020202220242026IAMORGAN STANLEY (CRD# 149777)2020 - Present (4 years)BMORGAN STANLEY (CRD# 149777)2017 - Present (7 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2009 - 2017 (7 years)BING FINANCIAL ADVISERS, LLC (CRD# 34815)2007 - 2009 (1 year)BING FINANCIAL ADVISERS, LLC (CRD# 34815)2003 - 2006 (3 years)BCITISTREET EQUITIES LLC (CRD# 7447)2003 - 2003 (<1 year)BUBS PAINEWEBBER INC. (CRD# 8174)1999 - 2003 (3 years)
License(s)

State Registrations

B
Alabama 4/29/2022
B
Nevada 3/15/2019
B
Alaska 4/29/2022
B
New Hampshire 5/25/2022
B
Arizona 5/11/2022
B
New Jersey 5/25/2022
B
Arkansas 3/15/2019
B
New Mexico 3/15/2019
B
California 5/11/2022
B
New York 6/21/2017
B
Colorado 5/11/2022
IA
New York 6/16/2021
B
Connecticut 5/11/2022
B
North Carolina 3/15/2019
B
Delaware 5/11/2022
B
North Dakota 3/15/2019
B
District of Columbia 5/11/2022
B
Ohio 5/27/2022
B
Florida 6/26/2017
B
Oklahoma 5/25/2022
B
Georgia 3/15/2019
B
Oregon 5/25/2022
B
Hawaii 5/25/2022
B
Pennsylvania 5/25/2022
B
Idaho 5/25/2022
B
Puerto Rico 3/15/2019
B
Illinois 3/15/2019
B
Rhode Island 3/15/2019
B
Indiana 3/15/2019
B
South Carolina 3/15/2019
B
Iowa 5/25/2022
B
South Dakota 3/15/2019
B
Kansas 5/25/2022
B
Tennessee 5/25/2022
B
Kentucky 5/25/2022
B
Texas 3/15/2019
B
Louisiana 5/25/2022
IA
Texas 5/18/2020
B
Maine 5/25/2022
B
Utah 3/15/2019
B
Maryland 5/25/2022
B
Vermont 5/25/2022
B
Massachusetts 3/11/2019
B
Virgin Islands 5/25/2022
B
Michigan 5/25/2022
B
Virginia 5/25/2022
B
Minnesota 3/15/2019
B
Washington 3/15/2019
B
Mississippi 3/15/2019
B
West Virginia 5/25/2022
B
Missouri 4/29/2022
B
Wisconsin 3/15/2019
B
Montana 6/15/2021
B
Wyoming 5/25/2022
B
Nebraska 3/15/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
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
MORGAN STANLEY (CRD#:149777)
250 South Clinton Street Suite 500, Syracuse, NY 13202
Syracuse, NY
Registered with this firm since 5/18/2020
B
MORGAN STANLEY (CRD#:149777)
250 South Clinton Street Suite 500, Syracuse, NY 13202
Syracuse, NY
Registered with this firm since 6/21/2017
Previous Registration(s)
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B
 10/05/2009 - 06/08/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SYRACUSE, NY
B
 08/21/2007 - 05/06/2009 ING FINANCIAL ADVISERS, LLC (CRD#:34815) SYRACUSE, NY
B
 06/16/2003 - 07/19/2006 ING FINANCIAL ADVISERS, LLC (CRD#:34815) WINDSOR, CT
B
 02/05/2003 - 05/13/2003 CITISTREET EQUITIES LLC (CRD#:7447) SOMERSET, NJ
B
 06/30/1999 - 01/14/2003 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
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.