Tracy L Johnson

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

• 06/2006 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
  Boston, MA

Other Businesses

I*889266 Entity Type: For Profit Name of outside business organization: T. J. DBA Funky Finds Investment related: No Address of business: CUMBERLAND, Rhode Island, 02864 Position, title, association: Owner Start date of relationship: 7/1/2022 Number of hours devoted: 5 hrs Weekly Number of hours devoted during trading hours: 0 Duties: I will have a booth in an antique mall that is filled with vintage/up-cycled items and refinished furniture. I*3279266 Entity Type: School Name of OBA: NORTH CUMBERLAND MIDDLE SCHOOL PTO Address: CUMBERLAND, Rhode Island, 02864 Investment Related: No Position, Title, Association: Employee Start Date: 12/05/2025 Number of Hours: 4, Monthly Number of Hours during trading: 0 Duties: MIDDLE SCHOOL PARENT TEACHER ORGANIZATION SECRETARY. ATTEND MEETINGS AND PROVIDED UPDATED NOTES TO ORGANIZATION

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-12-01
• S63 Uniform Securities Agent State Law Examination
  2001-01-25

Other Names

• Tracy Lyn Croft