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ChFC
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ChFC

Tracy Hardin

LPL Financial LLC
30 Years of Experience
New Albany, IN
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Tracy Hardin is a ChFC-designated registered investment advisor at LPL Financial LLC, based in New Albany, IN, with 30 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5140 Charlestown Rd Ste 3A, New Albany, IN, 47150

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2006
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Tracy is affiliated with Hardin & Duncan Financial Group as a DBA for LPL business, dedicating about a quarter of their time. Additionally, Tracy sells various insurance products, including life, health, disability, long-term care, and fixed annuities, which takes nearly full-time hours, and owns multiple real estate rental properties.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2023 - Present · 3 yrs
LPL Financial LLC
October 2023 - Present · 3 yrs
Previous Registrations
Private Client Services, LLCBroker
January 2010 - October 2023 · 13 yrs 9 mos
Private Client Services, LLC
January 2010 - October 2023 · 13 yrs 9 mos
Woodbury Financial Services, INC.Broker
August 2003 - December 2009 · 6 yrs 4 mos
Kfg Private Client Services, LLC
January 2002 - January 2004 · 2 yrs
1717 Capital Management Company
November 2001 - August 2003 · 1 yr 9 mos
1717 Capital Management CompanyBroker
October 2001 - August 2003 · 1 yr 10 mos
Lincoln Financial Advisors CorporationBroker
June 1996 - October 2001 · 5 yrs 4 mos
The Lincoln National Life Insurance CompanyBroker
June 1996 - October 2001 · 5 yrs 4 mos
State Registrations4 states
ALFLINKY
AdvisorBrokerBoth

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
No exam information available for this advisor.
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