Tracy Rothe
Tracy Rothe is a CFP-designated registered investment advisor at LPL Financial LLC, based in Longmont, CO, with 32 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
275 S. Main Street, Suite 203, Longmont, CO, 80501
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Tracy operates The Rothe Financial Group, Inc. as a DBA for her LPL business and also has a business entity for tax/investment purposes, dedicating nearly full-time hours to these activities. Tracy also sells non-variable insurance, spending about 10-20% of her time on this.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Sunamerica Securities, INC.Broker
Mutual of Omaha Investor Services, INC.Broker
State Registrations27 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
- Billy Funderburk, CFPLPL Financial LLC
- Joel Rothe, CFPLPL Financial LLC
- Patrick Dowlin, CFPLPL Financial LLC
- Adam Robinson, CFPSevenwealth LLC
- Samantha Schreiber-Reed, CFPEdward Jones
- Thomas Basil, CFPColorado Diversified Financial