TS
Traci L. Saxon
TRIVIUM POINT ADVISORY
WILTON, CT 06897
Some features on this profile are disabled
CRD#: 6571573
TS
Professional summary
Traci Leigh Saxon, who also goes by Traci Saxon, is a registered financial advisor currently at TRIVIUM POINT ADVISORY, LLC located in Wilton, Connecticut and LPL FINANCIAL LLC located in Wilton, Connecticut.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Traci has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Traci Saxon
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) 12/2023 - Trivium Point Advisory / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2 Hrs per month / 5% Time Spent 2) 12/2023 - PFP Insurance / Non-Variable Insurance / Inv. Related / Westport CT / Start date 12/15/2023 - 2 Hrs per month - 5% Time Spent 3) 12/19/2023 - Trivium Point Advisory, LLC - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 12/15/2023 - Time Spent: 90% - I provide investment advisory services through Trivium Point Advisory, LLC, an independent investment advisor firm. I started this business activity in 12/2023. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 03/20/2024 - Trivium Point Insurance Group - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 5 Hours Per Month/ During Trading 5) 12/20/2024 - Trivium Point Accounting - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Lcoation(s) - Start Date 02/28/2024 - 2 hours per month/ during trading
CRS (Client Relationship Summary) - RIA
Click below to view Traci Leigh Saxon's CRS (Customer Relationship Summary).
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
Current
May 15, 2018 - Present
TRIVIUM POINT ADVISORY, LLC
Office #1: 40 Danbury Road Suite 310, Wilton, CT 06897RIA
CRD#: 292182
WILTON, CT
Current
December 15, 2023 - Present
LPL FINANCIAL LLC
Office #1: 40 Danbury Rd #301, Wilton, CT 06897RIA
BD
CRD#: 6413
WILTON, CT
Past
June 19, 2018 - December 15, 2023
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Westport, CT
Past
September 20, 2016 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
WESTPORT, CT
Past
September 20, 2016 - May 30, 2018
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
WESTPORT, CT
Past
September 2, 2016 - May 30, 2018
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
WESTPORT, CT
Past
January 11, 2016 - June 28, 2016
HEDGEBAY SECURITIES LLC
BD
CRD#: 121136
Westport, CT
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".
TP
TRIVIUM POINT ADVISORY, LLC
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
CRD#: 292182 / SEC#: 801-112426
RIA
Registered Investment Advisory firm - (2/9/2018 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(5/15/2018)
RR
Connecticut(12/15/2023)
RR
New York(2/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TRIVIUM POINT ADVISORY, LLC
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
CRD#: 292182 / SEC#: 801-112426
RIA
Registered Investment Advisory firm - (2/9/2018 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
40 Danbury Road Suite 310, Wilton, CT 06897
Mailing Address
Phone number
(203) 221-3085
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,177 |
| AUM (Assets Under Management) | $ 1,487,605,211 |
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.
Company Information
TRIVIUM POINT ADVISORY, LLC
CRD#: 292182Wilton, CT 06897TRUST BUT VERIFY
Monitor Traci Saxon
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
