Tracy Taylor is a registered investment advisor at LPL Financial LLC, based in Katy, TX, with 12 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
Katy, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Tracy is associated with Sapphire Investment Services, LLC as a DBA for LPL business since 2019. Tracy also has an investment-related business entity, Country Roads, LLC, for tax/investment purposes, and invests in an 18-wheeler for her husband's trucking company, requiring minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
H.D. Vest Advisory Services, INC
Hd Vest Investment ServicesBroker
Summit Brokerage Services, INC.Broker
Summit Financial Group INC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Securities America Advisors, INC.
Securities America, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
State Registrations8 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.