Tracey Lynn Sudo

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2010 → Present
  Lpl Financial, Llc
  Lansdale, PA
• 05/2010 → 09/2016
  First Niagara Securities
  Lansdale, PA

Previous Registrations

• 2009-06-30 → 2010-05-05
  Cetera Investment Services Llc
  Spring House, PA
  Maple Glen, PA
• 2008-09-04 → 2009-06-22
  Banc Of America Investment Services, Inc.
  Blue Bell, PA
• 2008-01-02 → 2008-09-08
  Countrywide Investment Services, Inc.
  Broomall, PA
  Huntingdon Valley, PA
  Cherry Hill, NJ
  Broomall, PA
  Berwyn, PA
  Philadelphia, PA
• 2005-03-18 → 2006-05-05
  Pnc Wealth Management Llc
  Easton, PA
• 2003-07-23 → 2005-04-05
  Ameriprise Financial Services, Llc
  Allentown, PA

Other Businesses

1. 8/18/2017 - Keller Williams - Investment Related - 110 Harvest Drive, Blue Bell PA 19422 - Mortgage/Real Estate Services - Started 07/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Real Estate Agent. 2. 1/25/2022 - Exquisite Property Solutions - Investment Related - Lansdale PA 19446 - Real Estate Rental - Started 01/01/2021 - 0 Hours Per Month.

Exams

• S66 Uniform Combined State Law Examination
  2000-11-14