Robert Duffy Tracy
Investment adviser representative at LPL Financial LLC
11 yearsExperience
2 statesRegistered in
CFP® certificationDesignation
$819.1BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
11 years in the industry.
- LPL Financial LLCJul 2023 to now
- Lincoln Financial SecuritiesNov 2020 to Jul 2023
- Massachusetts Mutual Life Insurance CompanyMar 2017 to Nov 2020
- MML Investors Services, LLCMar 2017 to Nov 2020
- Metlife Securities Inc.Jan 2015 to Mar 2017
Designations
- CFP® certification
Exams passed
- Series 66 · Uniform Combined State Law2007
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5373086
- Firm CRD
- 6413