Tracy Douglas Forsythe

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

• 05/1998 → 07/2018
  Kms Financial Services, Inc.
  Seattle, WA
• 07/2018 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 05/2024
  Securities America, Inc.
  Seattle, WA
• 11/2020 → 05/2024
  Securities America Advisors, Inc.
  Seattle, WA
• 11/2020 → 05/2024
  Arbor Point Advisors
  Seattle, WA
• 05/2024 → Present
  Lpl Financial Llc
  Seattle, WA

Previous Registrations

• 2020-11-06 → 2024-05-21
  Securities America Advisors, Inc.
  Seattle, WA
• 2020-11-06 → 2024-05-21
  Arbor Point Advisors
  Seattle, WA
• 2010-12-09 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  Seattle, WA
  Seattle, WA
  Seattle, WA
  Seattle, WA

Other Businesses

1)04/18/2024-Macaulay and Associates-DBA for LPL Business entity for LPL business-Inv, related- At reported business location(s) 2) 04/18/2024-HIGHLANDER CAPITAL LLC-Business Entity for Tax/Investment Purposes Only- co-owner- Not Inv Related-Seattle, WA -Start date 05/01/2019-12hrs/mth

Exams

• S66 Uniform Combined State Law Examination
  1998-07-10

Other Names

• Tracy D Forsythe