Tracy Annette Parker

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

• 11/1996 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pleasanton, CA

Other Businesses

I*41598 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: ASHWORTH FAMILY LLC INVESTMENT RELATED: N ADDRESS OF BUSINESS: 20815 SAN RAMON VALLEY BLVD, SAN RAMON, CALIFORNIA 94583 NATURE OF BUSINESS: LLC, POSITION, TITLE, ASSOCIATION: OTHER, SIGNER/MANAGER OF LLC START DATE OF RELATIONSHIP: 6/20/2007 NUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HELPING MANAGE FAMILY RUN PROPERTY WITH CELLULAR SITES. GRANDPARENTS PROPERTY PUT INTO LLC FOR BENEFIT OF MEMBERS. BEING MAINTAINED UNTIL FINAL DISTRIBUTION TO BENEFICIARIES SOMETIME IN 2012 DUE TO DEATHS OF BOTH FORMER MANAGER'S LEROY & JANE ASHWORTH.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-08-21
• S63 Uniform Securities Agent State Law Examination
  1996-08-19

Other Names

• Tracy Annette Marshall
• Tracy A Parker