Traci Lynn Marchi

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

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

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2015-11-10
AZ	RA	APPROVED	2009-06-01
CA	RA	APPROVED	2009-06-01

TX RA
APPROVED_RES

Since 2015-11-10
AZ RA
APPROVED

Since 2009-06-01
CA RA
APPROVED

Since 2009-06-01

Branch Locations

2398 E Camelback Rd, Phoenix, AZ 85016 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Tucson	AZ	06/2009	Present

06/2009 → Present

Morgan Stanley Smith Barney

Tucson, AZ

Previous Registrations

2007-07-10 → 2009-06-01

Citigroup Global Markets Inc.

Scottsdale, AZ
2003-11-07 → 2007-07-19

Ubs Financial Services Inc.

Phoenix, AZ

Phoenix, AZ
2003-05-12 → 2003-11-26

Citigroup Global Markets Inc.

Walnut Creek, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-05-10
S63	Uniform Securities Agent State Law Examination	1999-04-20

S65 Uniform Investment Adviser Law Examination

2003-05-10
S63 Uniform Securities Agent State Law Examination

1999-04-20

Other Names

Traci Moore
Traci Marchi
Traci Hapke
Traci Lynn Hapke

View on SEC IAPD