Traci Sherrod
Traci Sherrod is a registered investment advisor at Cetera Investment Advisers LLC, based in San Diego, CA, with 24 years of industry experience. Traci operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
655 W Broadway, 11th Floor, San Diego, CA, 91941
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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.
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Traci serves as a FINRA arbitrator since 2010 and an NFA arbitrator since 2012. These activities are not investment-related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Cetera Wealth Services, LLC
Previous Registrations
Cetera Advisor Networks LLC
Girard Securities, INC.
Girard Securities, INC.Broker
First Allied Advisory Services, INC.
First Allied Securities, INC.
First Allied Securities, INC.Broker
LPL Financial Corporation
LPL Financial CorporationBroker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
TD Waterhouse Investor Services, INC.Broker
State Registrations51 states
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