Tracy K Baker

Current Employers

Employment History

• 03/2014 → 06/2022
  Km Investment Services
  Victor, NY
• 03/2014 → 06/2022
  Cadaret, Grant & Co, Inc.
  Victor, NY
• 07/2021 → 06/2022
  Prosperity Advisory Group
  Victor, NY
• 07/2022 → 07/2023
  Esl Investment Services, Llc
  Rochester, NY
• 07/2022 → 07/2023
  Lpl Financial
  Rochester, NY
• 07/2023 → 07/2025
  Cadaret Grant & Co., Inc.
  Penfield, NY
• 07/2025 → Present
  Lpl Financial Llc
  Penfield, NY

Previous Registrations

• 2024-07-24 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Penfield, NY
  Syracuse, NY
  Syracuse, NY

Other Businesses

1- 07/2025 - CFG Money Docs - Radio/ TV/ Podcast - Radio Show Co-Host - Investment Related - At Reported Business Location(s) - Start Date 07/24/2028 - 12 hours per month/ during trading 2- 07/2025 - CFG The Money Docs - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 04/01/2024 - 40 hours per month/ during trading 3- 07/2025 - Town of Webster Rec Center - Coach/ Sports/ Fitness - Youth Volleyball Instructor - Not Investment Related - Webster, NY - Start Date 01/02/2023 - 20 hours per month/ 0 hours during trading 4- 07/2025 - Tracy Baker (Notary) - Notary - Investment Related - At Reported Business Location(s) - Start Date 08/15/2007 - 1 hour per month/ during trading 5- 07/2025 - Commonwealth Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 07/17/2023 - 160 hours per month/ 140 hours during trading 6- 10/27/2025 - Hotshots Junior Girls Volleyball - Coach/ Sports/ Fitness - Investment Related - Rochester, NY - Start Date 10/26/2025 - 20 hours per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-07-10
• S63 Uniform Securities Agent State Law Examination
  2015-01-20

Other Names

• Tracy K Clark
• Tracy K Clark