Career
Tracy Zimmerer has been Vice President, Principal Operations Officer of Equitable Advisors since January 2024. Tracy Zimmerer is a control person of the firm and directly owns under 5% of it.
Equitable Advisors, LLC is a New York, NY firm with $47.3B under management, 76,027 clients and 4,664 advisers across 886 offices, as of its September 2026 filing.
- Stifel Independent Advisors, LLCAlso current– present · under a yearJamison, PA · Adviser representative and broker · Firm CRD 28218
- Equitable Advisors, LLCCurrent– present · 2 yearsJamison, PA · Adviser representative · Firm CRD 6627
- Equitable Advisors, LLCCurrent– present · 2 yearsJamison, PA · Adviser representative and broker · Firm CRD 6627
- Blackrock Investment Management, LLC– · 2 yearsPrinceton, NJ · Adviser representative · Firm CRD 108928
- Hornor, Townsend & Kent, LLC– · 2 yearsHorsham, PA · Adviser representative · Firm CRD 4031
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 3 yearsPennington, NJ · Adviser representative · Firm CRD 7691
- Hornor, Townsend & Kent, Inc.– · 1 yearHorsham, PA · Adviser representative · Firm CRD 4031
- Mml Investors Services, LLC– · 2 yearsHorsham, PA · Adviser representative · Firm CRD 10409
- Northwestern Mutual Investment Services,llc– · 5 yearsPrinceton, NJ · Adviser representative · Firm CRD 2881
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| North Carolina | Approved | 11 January 2024 |
| Pennsylvania | Approved | 25 March 2026 |
- Status
- Approved
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 27 | Financial and Operations Principal Examination | 8 April 2019 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 23 January 2012 |
| Series 66 | Uniform Combined State Law Examination | 13 December 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 November 2003 |
| Series 51 | Municipal Fund Securities Principal Examination | 29 September 2003 |
| Series 24 | General Securities Principal Examination | 16 April 2001 |
| Series 7 | General Securities Representative Examination | 7 December 2000 |
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Financial and Operations Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Tracy Zimmerer
- CRD
- 4275481
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Tracy Zimmerer work?
Tracy Zimmerer has been Vice President, Principal Operations Officer of Equitable Advisors, LLC since January 2024, and is a control person of the firm.
Is Tracy Zimmerer a financial advisor?
Yes. Tracy Zimmerer has a current investment-adviser registration in North Carolina and Pennsylvania, through Equitable Advisors since January 2024.
How many years of experience does Tracy Zimmerer have?
Tracy Zimmerer has 24 years in the financial industry, since January 2002, across 7 adviser firms.
What exams has Tracy Zimmerer passed?
Tracy Zimmerer has passed 9 licensing exams: the Series 7, Series 24, Series 51, Series 63, Series 66, Series 53, Series 27, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in December 2000. FINRA credited Tracy Zimmerer with the SIE, which began in October 2018.
Where did Tracy Zimmerer work before Equitable Advisors?
Before Equitable Advisors, Tracy Zimmerer was registered through Blackrock Investment Management, LLC, September 2021 to December 2023; Hornor, Townsend & Kent, LLC, October 2018 to March 2021; Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 2015 to September 2018; Hornor, Townsend & Kent, Inc., February 2014 to April 2015; Mml Investors Services, LLC, December 2011 to December 2013; Northwestern Mutual Investment Services,llc, December 2005 to October 2011.
Leadership at Equitable Advisors
- David KarrChairman of the Board and Chief Executive Officer
- Maryjean BonadonnaVice President, Business Governance and Supervisory Oversight
- Christian James CannonVice President and General Counsel
- Gina Marie JonesVice President and Financial Crime Officer
- Frank MassaPresident/Director
- Jane SmithAssistant Vice President
- Patricia BoylanChief Compliance Officer
- John Michael Jr. KennedyChief Privacy Officer
- Nicholas LaneDirector
- James MellinChief Sales Officer
- Candace ScappatorController/FINOP/Principal Financial Officer
- Qi Ning TianDirector
- Yun ZhangDirector