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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2004-11-11
  • TX RA
    APPROVED
    Since 2004-11-11

Branch Locations

2800 Post Oak Blvd, Houston, TX 77056 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Sugar Land TX 03/2000 Present
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
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-10
  • 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

View on SEC IAPD

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