Tracy A. Smith
Professional summary
Tracy Alan Smith is a registered financial professional currently at U.S. STERLING SECURITIES, INC. located in Hauppauge, New York.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1999. Tracy has worked at 1 firm and has passed the Series 63, SIE, Series 62 and Series 72 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy Alan Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 1999 - Present
U.S. STERLING SECURITIES, INC.
Office #1: 1393 Veterans Memorial Highway 412n, Hauppauge, NY 11788State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/9/2017)
(9/12/2013)
(7/10/2018)
(1/25/1999)
(1/9/2017)
(1/9/2017)
(1/9/2017)
(9/12/2013)
Exams
Series 62
Date: 6/19/2017
Corporate Securities Limited Representative ExaminationSeries 72
Date: 1/19/1999
Government Securities Representative ExaminationFINRA
Current Firm
U.S. STERLING SECURITIES, INC.
CRD#: 35912 / SEC#: , 8-47052
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
Red Flags
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