Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Alan Troxel is a financial advisor with LPL Financial LLC. Tracy has been in the financial industry for over 10 years and is registered to offer investment advice in Ohio, Kentucky, and Florida. Tracy holds the Series 7, Series 66, and Series 6 licenses, as well as the SIE. Tracy has experience working with individuals, corporations, trusts, and pension and profit-sharing plans. In addition to financial planning, Tracy provides consulting and other non-discretionary advisory services.
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
OH
04/06/2020 - Present
LPL Financial LLC (NORWALK OH)
OH
11/01/2019 - 04/06/2020
W&S BROKERAGE SERVICES, INC. (ELYRIA OH)
OH
05/21/2009 - 02/11/2014
THRIVENT INVESTMENT MANAGEMENT INC. (FREMONT OH)
OH
02/12/2007 - 05/15/2009
FIFTH THIRD SECURITIES, INC. (FREMONT OH)
OH
10/18/2004 - 01/29/2007
THRIVENT INVESTMENT MANAGEMENT INC. (FREMONT OH)
BOTH
Issued 02/28/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/08/2020
Series 7TO - General Securities Representative Examination
BC
Issued 11/01/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/25/2019
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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