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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-03-27
TX RA APPROVED 2014-03-27
  • CA RA
    APPROVED
    Since 2014-03-27
  • TX RA
    APPROVED
    Since 2014-03-27

Branch Locations

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Los Angeles CA 03/2014 Present
Bank Of America, N.A. Los Angeles CA 04/2014 Present
Previous Registrations
  • 2008-07-03 → 2014-04-16
    Credit Suisse Securities (Usa) Llc
    Los Angeles, CA
Other Businesses

I*3297294 Entity Type: Fiduciary role Name of OBA: MLPF& S CUST FPO J. T. IRRA FBO J. T. Address: Los Angeles, CA 90049 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 11/03/2025 Number of Hours: 2, Monthly Number of Hours during trading: 2, Monthly Duties: Power of Attorney/Child/Grandchild I*3449283 Entity Type: For Profit Name of OBA: Aircamp, LLC Address: Los Angeles, California, 90024 Investment Related: Yes Position, Title, Association: General Partner/Managing Member Employee Start Date: 12/10/2025 Number of Hours: 2, Monthly Number of Hours during trading: 1, Monthly Duties: Formed for the object and purpose of a joint venture to contract with private aviation company, as well as any and all activities necessary or incidental to the foregoing Manager of LLC. distribute funds, etc

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-19
S63 Uniform Securities Agent State Law Examination 1994-08-26
  • S65 Uniform Investment Adviser Law Examination
    1994-09-19
  • S63 Uniform Securities Agent State Law Examination
    1994-08-26
Other Names
  • David Tracy
  • J David Tracy
  • John David Tracy
  • John D Tracy

View on SEC IAPD

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