Tracy Baker is a registered investment advisor at LPL Financial LLC, based in Penfield, NY, with 13 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
441 Penbrooke Dr Suite 5, Penfield, NY, 14526
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Regulatory History (1)
Financial
June 2018Other Business Activities
Tracy works full-time as registered support staff at Commonwealth Financial Group since July 2023, providing administrative support to financial professionals. She also provides notary services, works as a volleyball instructor, co-hosts a podcast, and works as a project coordinator.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Esl Investment Services, LLCBroker
LPL Financial LLCBroker
Cadaret, Grant & CO., INC.Broker
Chase Investment Services CORP.Broker
Metlife Securities INC.Broker
Chase Investment Services CORP.Broker
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.