Tracy L Cairoli

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

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

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

Current Employers

Employment History

• 08/2021 → 12/2025
  Morgan Stanley Smith Barney Llc
  Paramus, NJ
• 04/2015 → 05/2019
  Oppenheimerfunds
  New York, NY
• 05/2019 → 08/2019
  Invesco
  New York, NY
• 08/2019 → 08/2021
  Homemaker
  Glen Rock, NJ
• 12/2025 → Present
  Ubs Financial Services Inc
  Paramus, NJ

Previous Registrations

• 2022-09-20 → 2025-12-08
  Morgan Stanley
  New York, NY
  Paramus, NJ

Other Businesses

1)Glen Rock Middle School/High School HSA,NJUnited States,CharityPrincipal activities are to establish and support the relationship between the home, the schools, and the community of Glen Rock including 1) Promoting open and transparent communications among the school, its teachers, administrators and families, 2) Supporting funding, promoting programs and teacher/administrator-requested activities that offer opportunities for students to enhance their MS and HS experiences, 3) Offering a forum to discuss district issues, 4) Promoting a cooperative relationship with the Glen Rock Community, and 5) Encouraging, recruiting, and organizing parent leadership for HSA activities.Member of Board of directors"? Accounts Payable: Pay all approved incoming bills/check requests. ? Accounts Receivable ? Maintain and Reconcile Bank Accounts ? Prepare and Present Financial Statement ? Prepare Annual Budget ? Teacher Wish List"Start date -10/7/2025

Exams

• S66 Uniform Combined State Law Examination
  2022-08-05
• S65 Uniform Investment Adviser Law Examination
  2000-10-18
• S63 Uniform Securities Agent State Law Examination
  2000-06-13

Other Names

• Tracy Lyn Stein
• Tracy Lyn Stein
• Tracy Lyn Cairoli
• Tracy L Cairoli