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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

Zack James Tracy

Advisor at J.P. MORGAN SECURITIES LLC

Summit, NJ

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Search this name across graphsid dfx:ria:e442f162-ec14-bdca-2d3f-865a202607f2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 13, 2021 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 8, 2021
First registration: Jan 13, 2021
Dual registered: yes, broker-dealer
Other names: Zack James Tracy|Zack Tracy|Zack J Tracy
IAPD individual key: 7145660

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 3, 2026	n/a	yes	Summit, NJ	Current employment
NEUBERGER BERMAN BD LLC	No RAUM reported	Jun 9, 2025	Dec 5, 2025	no	NEW YORK, NY\|Hoboken, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 27, 2022	Jun 13, 2025	no	New York, NY\|PURCHASE, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 13, 2021	Mar 16, 2022	no	NEW YORK, NY\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NEUBERGER BERMAN BD LLC	J.P. MORGAN SECURITIES LLC	Dec 5, 2025	Feb 3, 2026	60	Firm change	Other
MORGAN STANLEY	NEUBERGER BERMAN BD LLC	Jun 13, 2025	Jun 9, 2025	-4	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Mar 16, 2022	Jun 27, 2022	103	Firm change	Wirehouse to wirehouse

Relationships

Registered with (4)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Feb 3, 2026 to presentfactForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Jun 9, 2025 to Dec 5, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 27, 2022 to Jun 13, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 13, 2021 to Mar 16, 2022factForm ADV

Dated events

Occurred
Dec 5, 2025
Advisor changed firm
Zack James Tracy left Neuberger Berman Bd Llc for J.P. Morgan Securities Llc (registered 2026-02-03)
Form ADVobserved 4 days ago
Occurred
Jun 13, 2025
Advisor changed firm
Zack James Tracy left Morgan Stanley for Neuberger Berman Bd Llc (registered 2025-06-09)
Form ADVobserved 4 days ago
Occurred
Mar 16, 2022
Advisor changed firm
Zack James Tracy left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2022-06-27)
Form ADVobserved 4 days ago