Tracy Lee Kroggel Francis

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

• 07/2007 → 03/2021
  H. Beck, Inc.
  Rockville, MD
• 04/2021 → 05/2025
  Grove Point Advisors, Llc
  Rockville, MD
• 04/2021 → 05/2025
  Grove Point Investments, Llc
  Rockville, MD
• 05/2025 → Present
  Lpl Financial Llc
  Lexington, KY

Previous Registrations

• 2021-04-01 → 2025-05-01
  Grove Point Advisors, Llc
  Rockville, MD
  Rockville, MD
  Lexington, KY
• 2010-08-31 → 2021-04-01
  Grove Point Investments, Llc
  Rockville, MD
  Rockville, MD
  Lexington, KY

Other Businesses

1- 05/2025 - GLIA Investments and Retirement - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2024 - 160 hours per month/ during trading 2- 05/2025 - MTEK, LLC - Real Estate Rental - Investment Related - Versailles, KY - Start Date 11/30/2022 - 15 hours per month/ 0 hours during trading 3- 05/2025 - Greater Lexington Insurance Agency - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 07/01/2002 - 5 hours per month/ during trading

Exams

• S66 Uniform Combined State Law Examination
  2004-03-02

Other Names

• Tracy Lee Kroggel