Tracy Lynn Cooper

CRD 4651004 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Palm Beach, FL

IA RegisteredBroker

Also appears in the source record as: Tracy L Cooper

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 10Series 9SIESeries 7
Registered states (1): Florida
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Palm Beach, FL · IA capacity

Aug 25, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Palm Beach, FL · BC capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 4, 2011 → Feb 27, 2025
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 27, 2011 → Feb 27, 2025
Brokers International Financial Services, LLC
IA capacity

Mar 18, 2009 → Oct 3, 2011
Brokers International Financial Services, LLC.
BD capacity

Mar 12, 2009 → Oct 3, 2011
USA Financial Securities Corporation
IA capacity

Mar 3, 2008 → Mar 11, 2009
USA Financial Securities Corporation
BD capacity

Dec 13, 2007 → Mar 11, 2009
Southeast Investments, N.C., Inc.
BD capacity

Aug 21, 2007 → Nov 28, 2007
Kovack Securities Inc.
BD capacity

Jan 1, 2006 → Apr 17, 2007
Edward Jones
BD capacity

Jun 4, 2003 → Aug 12, 2004

Source & corrections

Where this page comes from

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