RT
Robert J. Tracy
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CRD#: 1513899
RT
Professional summary
Robert James Tracy was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert James Tracy, who also goes by Bj Tracy, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bj Tracy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 8/2021- BROADFRONT CAPITAL MANAGEMENT- DBA for LPL Business (entity for LPL business)- Inv. Related- Holmdel, NJ- 160hrs/mth 2) 8/2021- Gladstone Wealth Partners-DBA for LPL Business (entity for LPL business)- Inv. Related- Holmdel, NJ- 160hrs/mth 3) 8/2021- BOOK OF BROKERS- Non-Variable Insurance- Agent selling Term Life and Universal Life- Inv. Related- Holmdel, NJ- start date 8/4/2021- 2hrs/mth 4) 8/2021- UBER- Driver- Non-inv. Related- SAN FRANCISCO, CA -start date 12/3/2015- 10hrs/mth 5) 8/2021- LYFT - DRIVER; Non-inv. Related- SAN FRANCISCO, CA - start date 5/2/2016- 10hrs/mth 6) 8/2021- EBAY- selling personally owned items- Non-inv. Related- San Jose, CA- start date 2/3/201- 5% 7) 03/15/2024 - The Lifetime Income Guy - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 01/17/2024 - 1 Hour Per Month/ During Trading
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 7, 2021 - April 7, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
HOLMDEL, NJ
Past
September 2, 2021 - April 7, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
HOLMDEL, NJ
Past
February 19, 2013 - September 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RED BANK, NJ
Past
February 15, 2013 - September 8, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RED BANK, NJ
Past
June 1, 2009 - March 5, 2013
MORGAN STANLEY
RIA
CRD#: 149777
RED BANK, NJ
Past
June 1, 2009 - March 5, 2013
MORGAN STANLEY
BD
CRD#: 149777
RED BANK, NJ
Past
November 28, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
RED BANK, NJ
Past
November 28, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
RED BANK, NJ
Past
July 5, 2002 - December 1, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
RED BANK, NJ
Past
September 8, 2000 - December 1, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
May 17, 1996 - September 18, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 5, 1986 - May 24, 1996
MID-STATE SECURITIES CORP.
BD
CRD#: 10266
RED BANK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
