Tracy Lewis Randle

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

Authority	Category	Status	Date
NJ	RA	APPROVED	2025-08-06
MD	RA	APPROVED	2024-05-08
TX	RA	APPROVED	2024-05-08

NJ RA
APPROVED

Since 2025-08-06
MD RA
APPROVED

Since 2024-05-08
TX RA
APPROVED

Since 2024-05-08

Branch Locations

Clinton, MD • United States

461 From Rd Ste 385 3Rd Floor, Paramus, NJ 07652 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Mclean	VA	07/2016	11/2016
Wells Fargo Clearing Services, Llc	Mclean	VA	11/2016	05/2024
Lpl Financial	Rockville	MD	05/2024	Present

07/2016 → 11/2016

Wells Fargo Advisors, Llc

Mclean, VA
11/2016 → 05/2024

Wells Fargo Clearing Services, Llc

Mclean, VA
05/2024 → Present

Lpl Financial

Rockville, MD

Previous Registrations

2016-07-06 → 2024-05-23

Wells Fargo Clearing Services, Llc

Mclean, VA

Arlington, VA

Alexandria, VA

Mclean, VA

Columbia, MD
2002-12-02 → 2016-07-11

Truist Investment Services, Inc.

District Heights, MD

Oxon Hill, MD

Upper Marlboro, MD

Oxon Hill, MD

Lanham, MD

Upper Marlboro, MD

Upper Marlboro, MD

Marlow Heights, MD

Forestville, MD

Largo, MD

Bladensburg, MD

Landover, MD

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Washington, DC

District Heights, MD

Marlow Heights, MD

Washington, DC

Upper Marlboro, MD

Other Businesses

1- 04/2024 / Oceanfront Financial Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 2- 04/2024 / The Monitor Group / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 3- 04/2024 / Financial Advocacy Network / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 8 hrs during trading / At reported business location(s) 4- 04/2024 / Non Variable Insurance / Non Variable Insurance / Investment Related / 160 hrs mth / 8 hrs during trading / 04/25/2024

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-25
S63	Uniform Securities Agent State Law Examination	1990-10-16

S66 Uniform Combined State Law Examination

2002-11-25
S63 Uniform Securities Agent State Law Examination

1990-10-16

Other Names

Tracy Loretta Lewis

View on SEC IAPD