Tracy Curtis is a registered investment advisor at LPL Financial LLC, based in Bethel, CT, with 17 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
Bethel, CT
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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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Tracy is involved with Curtis Financial in retirement and wealth management since December 2024. Tracy also co-owns rental real estate with their spouse in Bethel, CT, since January 2021.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spirit of America Management CORP
David Lerner Associates, INC.Broker
MML Investors Services, INC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
David Lerner Associates, INC.Broker
State Registrations12 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.