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Tracy Guo Aiken

LPl Financial LLC

Fort Mill, SC

CRD 3068696

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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:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2019-06-18
SC RA APPROVED 2019-01-03
  • TX RA
    APPROVED
    Since 2019-06-18
  • SC RA
    APPROVED
    Since 2019-01-03

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • 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
OrganizationCityStateFromTo
Lpl Financial Llc Fort Mill SC 08/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-31
S65 Uniform Investment Adviser Law Examination 1999-12-18
S63 Uniform Securities Agent State Law Examination 1998-07-01
  • S66 Uniform Combined State Law Examination
    2018-12-31
  • S65 Uniform Investment Adviser Law Examination
    1999-12-18
  • S63 Uniform Securities Agent State Law Examination
    1998-07-01
Other Names
  • Zhongdong Guo
  • Zhongdong Guowigler
  • Tracy Guo
  • Zhongdong Guo

View on SEC IAPD

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Nearby Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN

Nearby Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC

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