Tracy Lamond
Tracy Lamond is a CFA-designated registered investment advisor at LPL Financial LLC, based in Novato, CA, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
4 Oak Forest Rd, Novato, CA, 94949
Get directionsHistory
Regulatory History (3)
Customer Dispute
May 2022Customer Dispute
February 2004Customer Dispute
March 2001Other Business ActivitiesSells Insurance
Tracy operates under the DBA TLC Investment Management since 2007. She also sells life and long-term care (LTC) non-variable insurance, dedicating about 10-20% of her time to this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Fiserv Investor Services, INC.Broker
Corelink Financial, INC.Broker
Capital Brokerage CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.