Tracey Brooks
Tracey Brooks is a registered investment advisor at LPL Financial LLC, based in Cincinnati, OH, with 20 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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 Registrations9 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.