Tracy Diane Taylor

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

• 02/2016 → 02/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 02/2018 → 10/2018
  Summit Brokerage Services, Inc.
  Houston, TX
• 02/2018 → 10/2018
  Summit Financial Group, Inc.
  Houston, TX
• 10/2018 → 06/2019
  Hd Vest Investment Services
  Houston, TX
• 10/2018 → 06/2019
  Hd Vest Advisory Services
  Houston, TX
• 10/2018 → 06/2019
  Hd Vest Insurance Agency, Llc
  Irving, TX
• 02/2018 → 10/2018
  Core + Financial Strategies, Llc
  Houston, TX
• 06/2019 → Present
  Lpl Financial, Llc
  Katy, TX

Previous Registrations

• 2018-10-29 → 2019-06-28
  Avantax Advisory Services
  Houston, TX
• 2018-02-07 → 2018-11-05
  Summit Financial Group Inc
  Houston, TX
• 2016-03-17 → 2018-02-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
  Houston, TX
  Katy, TX
  Katy, TX
• 2014-11-18 → 2016-02-02
  Securities America Advisors, Inc.
  Houston, TX
• 2014-03-04 → 2014-11-24
  Lpl Financial Llc
  Houston, TX

Other Businesses

1. 06/19/2019 - SAPPHIRE INVESTMENT SERVICES, LLC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 100%/ KATY, TX 2. 4/9/2021 - Country Roads, LLC - Investment Related - Business Entity For Tax/Investment Purposes Only - Start Date: 12/21/2010 - 0 Hours Per Month/0 Hours During Securities Trading - Invest in an 18-wheeler for my husband's trucking company

Exams

• S66 Uniform Combined State Law Examination
  2014-02-20

Other Names

• Tracy Diane Taylor
• Tracy Diane Miles
• Tracy D Mcdermand
• Tracy Diane Valero