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Tracy Buik

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Red Bank, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2015-08-17
TX RA APPROVED 2015-05-28
  • NJ RA
    APPROVED
    Since 2015-08-17
  • TX RA
    APPROVED
    Since 2015-05-28

Branch Locations

77 Broad St, Red Bank, NJ 07701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Red Bank NJ 05/2015 Present
Previous Registrations
  • 2009-06-01 → 2015-06-04
    Morgan Stanley
    New York, NY
    New York, NY
  • 2008-06-16 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
  • 2003-02-25 → 2008-06-09
    Ubs Financial Services Inc.
    Edison, NJ
    Edison, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-12
  • S66 Uniform Combined State Law Examination
    2008-09-12
Other Names
  • Tracy Lee Flemm
  • Tracy Lee Buik
  • Tracy Lee Flemm
  • Tracy Lee Carroll
  • Tracy Carroll

View on SEC IAPD

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Other Offices

CLEAR WAVE WEALTH MANAGEMENT, LLC · RED BANK, NJ
MILLINGTON SECURITIES, LLC · RED BANK, NJ
HARTSHORNE GROUP, LLC · RED BANK, NJ
WBI INVESTMENTS, LLC · RED BANK, NJ
PRINCETON CAPITAL MANAGEMENT LLC · RED BANK, NJ
ATLAS PRIVATE WEALTH ADVISORS · RED BANK, NJ
DONALD W. CASH & ASSOCIATES, LLC · RED BANK, NJ
IEM ASSET MANAGEMENT, LLC · RED BANK, NJ

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