Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracie? Claim Your ProfileTracie Ann Shardez is a financial advisor with over 25 years of experience in the financial services industry. Tracie is currently registered with LPL Financial LLC and has been with the firm since March 2013. Tracie has held previous positions with Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, BancWest Investment Services, Inc., MML Investors Services, Inc., Essex National Securities, Inc., and New England Securities. Tracie holds the Series 6, Series 7, Series 63, and Series 65 licenses and has been active in the industry since November 5, 1997. Tracie provides financial planning, portfolio management, and consulting services to individuals, businesses, and organizations.
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
10/22/2018 - Present
LPL Financial LLC (GRIDLEY CA)
CA
01/03/2011 - 03/18/2013
WELLS FARGO ADVISORS, LLC (YUBA CITY CA)
CA
07/23/2010 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (YUBA CITY CA)
CA
06/04/2003 - 07/26/2010
BANCWEST INVESTMENT SERVICES, INC. (GRIDLEY CA)
MA
04/17/2003 - 06/12/2003
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
CA
04/09/1998 - 03/31/2003
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
07/15/1997 - 12/31/1997
NEW ENGLAND SECURITIES (NEW YORK NY)
IA
Issued 03/24/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/1999
Series 7 - General Securities Representative Examination
BC
Issued 07/14/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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