Tracy L Mauch

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2000 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sugar Land, TX

Other Businesses

I*5597282 Entity Type: N/A Name of OBA: Rental Property - 27-Aug-26 - 1 Address: Canyon Lake, Texas, 78133 Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 10/31/2026 Number of Hours: 15, Weekly Number of Hours during trading: 0, Weekly Duties: N/A

Exams

• S66 Uniform Combined State Law Examination
  2004-11-10

Other Names

• Tracy Leigh Smith
• Tracy L Rogers
• Tracey L Smith
• Tracy L Rogers
• Tracy L Calderon