Tracey Brooks
Tracey Brooks is a registered investment advisor at LPL Financial LLC, based in Cincinnati, OH, with 20 years of industry experience. Tracey 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
3805 Edwards Rd Ste 550, Cincinnati, OH, 45209
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2010Other Business ActivitiesSells Insurance
Tracey operates Living Legacy Financial Services as a DBA for her LPL business and manages multiple rental properties, dedicating minimal time to these real estate activities. She also engages in non-variable insurance and presentations.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Ameritas Investment CORP
Ameritas Investment CORP.Broker
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
State Registrations10 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
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