Tracy Lamond
Tracy Lamond is a CFA-designated registered investment advisor at LPL Financial LLC, based in Novato, CA, with 40 years of industry experience. Tracy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
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 Registrations13 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.
Exams
More Advisors
- Timothy RussellLPL Financial LLC
- Samuel Oliver, CFPLPL Financial LLC
- Elizabeth Strong-CooverLPL Financial LLC
- Penny Bacharach, CFPAlpha Wealth Management and Planning LLC
- Frank Bruno, CFPAlders Financial Solutions
- James Busterud, CFPJack Point Advisors, LLC