Tracey L S Lyum

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

• 03/2014 → 04/2017
  Lpl Financial, Llc
  Honolulu, HI
• 04/2017 → 11/2017
  Cetera Investment Services Llc
  St. Cloud, MN
• 04/2017 → 11/2017
  Cetera Investment Advisers Llc
  Honolulu, HI
• 11/2017 → Present
  Central Pacific Bank
  Pearl City, HI
• 11/2017 → Present
  Lpl Financial Llc
  Pearl City, HI

Previous Registrations

• 2017-04-18 → 2017-11-21
  Cetera Investment Advisers Llc
  Honolulu, HI
• 2014-03-27 → 2017-04-27
  Lpl Financial Llc
  Honolulu, HI
  Honolulu, HI
  San Diego, CA
  Honolulu, HI
  Honolulu, HI
  Honolulu, HI
  Honolulu, HI
  Lahaina, HI
  Waianae, HI
  Waianae, HI
  Kapolei, HI
• 2010-11-02 → 2014-02-14
  Bankoh Investment Services, Inc.
  Honolulu, HI
  Honolulu, HI
  Waipahu, HI
  Honolulu, HI
  Honolulu, HI
  Kapolei, HI

Other Businesses

1. 11/20/2017 - Tracey L S Lyum Rev Liv Trust - Investment Related - Honolulu HI 96734 - Real Estate Rental - Started 2011 - 0 Hours Per Month - Time Spent 0%. 2. 11/20/2017 - Tracey L S Lyum Rev Liv Trust - Investment Related - Hon Hi 96813 - Real Estate Rental - Started 2016 - 0 Hours Per Month - Time Spent 0%. 3. 11/20/2017 - Tracey L S Lyum Rev Liv Trust - Investment Related - Hon Hi 96816 - Real Estate Rental - Started 2014 - 0 Hours Per Month - Time Spent 0%. 4. 11/20/2017 - CENTRAL PACIFIC INVESTMENT SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 5. 12/30/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/20/2019 - 2 Hours Per Month/0 Hours During Securities Trading. 6. 8/4/2021 - Central Pacific Bank - DBA: CP Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 8/3/2021 - 160 Hours Per Month/160 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-06-22
• S63 Uniform Securities Agent State Law Examination
  1999-06-28

Other Names

• Tracey L. S. Nguyen
• Tracey Ly Suong Nguyen
• Tracey Ly Suong Lyum