Tracy Ann Shea

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2019-01-23

MA RA
APPROVED

Since 2019-01-23

Branch Locations

285 Billerica Rd Ste 201, Chelmsford, MA 01824 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Raymond James Financial Services, Inc	Boston	MA	05/2008	12/2018
Kaleel Investment Advisors	Boston	MA	12/2003	05/2018
Raymond James Financial Services Advisors Inc	Chelmsford	MA	05/2018	12/2018
Metro Financial Strategies	Chelmsford	MA	05/2018	12/2018
Lpl Financial Llc	Chelmsford	MA	01/2019	Present
Bay Financial Advisors, Inc.	Chelmsford	MA	01/2019	Present

05/2008 → 12/2018

Raymond James Financial Services, Inc

Boston, MA
12/2003 → 05/2018

Kaleel Investment Advisors

Boston, MA
05/2018 → 12/2018

Raymond James Financial Services Advisors Inc

Chelmsford, MA
05/2018 → 12/2018

Metro Financial Strategies

Chelmsford, MA
01/2019 → Present

Lpl Financial Llc

Chelmsford, MA
01/2019 → Present

Bay Financial Advisors, Inc.

Chelmsford, MA

Previous Registrations

2018-05-14 → 2018-12-24

Raymond James Financial Services Advisors, Inc

Chelmsford, MA
2011-05-05 → 2018-06-29

Kaleel Investment Advisors, Llc

Boston, MA

Other Businesses

1) 01/14/2019 - CROSSPOINT FINANCIAL ADVISORS - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/2019 - 160 hr/mth 2) 01/14/2019 - BAY FINANCIAL ASSOCIATES, LLC. - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 01/2019 - 160 hr/mth 3)01/14/2019 - Notary - State of MA - start: 01/2015. 4) 04/16/2019 - No business name - Investment related - At reported business location(s) - Non-Variable Insurance - start date:04/22/2019 - 5 hrs/mo - 5 hrs during trading. 5) 02/25/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer/Agent - Start Date: 01/02/2019 - 1 Hour Per Month/1 Hour During Securities Trading. 6) 09/03/2024 - NOLO Publishing - Other - Material Updater Publishing - Not Investment Related - At Reported Business Location(s) - Start Date 09/01/2024 - 10 Hours Per Month/ 0 Hours during Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-04-29

S66 Uniform Combined State Law Examination

2011-04-29

Designations

Other Names

Tracy Ann Hanlon

View on SEC IAPD