Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Duffy Tracy is a financial advisor registered with LPL Financial LLC and has been in the industry since July 17, 2007. Robert Duffy Tracy has offices in Foster City and San Carlos, California. Robert Duffy Tracy is a CERTIFIED FINANCIAL PLANNER™ professional. Robert Duffy Tracy holds Series 66, 7 and SIE licenses. Robert Duffy Tracy has also worked with MSI Financial Services, Inc., MML Investors Services, LLC, New England Securities and Lincoln Financial Securities Corporation.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
05/06/2024 - Present
LPL Financial LLC (FOSTER CITY CA)
CA
11/17/2020 - 07/25/2023
LINCOLN FINANCIAL SECURITIES CORPORATION (SAN CARLOS CA)
CA
03/25/2017 - 11/18/2020
MML INVESTORS SERVICES, LLC (Foster City CA)
CA
01/02/2015 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (FOSTER CITY CA)
CA
07/17/2007 - 01/02/2015
NEW ENGLAND SECURITIES (FOSTER CITY CA)
BOTH
Issued 07/30/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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