Christopher Tracy is a registered investment advisor at LPL Financial LLC, based in Mobile, AL, with 21 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
3290 B Dauphin Street, Mobile, AL, 36606-4002
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Christopher has a DBA for his LPL business under Cadence Investment Services since 2022. He is also the Market President for the Mobile Metropolitan Area at Cadence Bank, a financial institution.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Infinex Investments, INC.
Infinex Investments, INC.Broker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wachovia Securities, LLC
American Express Financial Advisors, INC.
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations1 state
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.