Tracy K Baker
Investment adviser representative at LPL Financial LLC
12 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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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
12 years in the industry.
- LPL Financial LLCJul 2025 to now
- Cadaret Grant & Co., inc.Jul 2023 to Jul 2025
- Esl Investment Services, LLCJul 2022 to Jul 2023
- LPL FinancialJul 2022 to Jul 2023
- Prosperity Advisory GroupJul 2021 to Jun 2022
- Cadaret, Grant & Co, Inc.Mar 2014 to Jun 2022
- Km Investment ServicesMar 2014 to Jun 2022
Exams passed
- Series 63 · Uniform Securities Agent State Law2015
- Series 65 · Uniform Investment Adviser Law2024
State registrations
Registered as an investment adviser representative in 1 state (NY).
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
- 5738425
- Firm CRD
- 6413