Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Traci? Claim Your ProfileTraci Lynn Sherrod is an active investment advisor representative with Cetera Investment Advisers LLC. Traci is a financial professional with over 20 years of experience in the securities industry and has held multiple positions at different firms. Traci has Series 3, 4, 7, 24, 52, 53, 63 and 66 licenses and holds registrations in 51 states. Traci previously worked with firms including Girard Securities, Inc., First Allied Securities, Inc., LPL Financial Corporation and CitiCorp Investment Services. Traci is a FINRA and NFA arbitrator.
LA MESA, CA
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
06/29/2023 - Present
Cetera Investment Advisers LLC (LA MESA CA)
CA
05/07/2013 - 11/01/2017
GIRARD SECURITIES, INC. (SAN DIEGO CA)
CA
08/13/2009 - 05/07/2013
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
02/09/2007 - 08/24/2009
LPL FINANCIAL CORPORATION (SAN DIEGO CA)
CA
08/22/2005 - 02/15/2007
CITICORP INVESTMENT SERVICES (SAN DIEGO CA)
SC
10/01/2003 - 07/11/2005
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NE
03/01/2001 - 10/03/2003
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 12/1/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/7/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 5/23/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 2/27/2004
Series 4 - Registered Options Principal Examination
BC
Issued 11/3/2003
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/25/2003
Series 3 - National Commodity Futures Examination
BC
Issued 2/28/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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