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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)33 years in industry

TRACY LEE MILLER

Advisor at LPL FINANCIAL LLC

SUGAR LAND, TX

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Search this name across graphsid dfx:ria:0433c4cd-854e-7d97-08d0-256c5294b65c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 28, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 16, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S63
First exam: Nov 16, 1992
First registration: Sep 28, 1998
Dual registered: yes, broker-dealer
Other names: TRACY L YOUNG|TRACY LEE DUFFY|TRACY DUFFY MILLER
IAPD individual key: 2292671

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 9, 2018	n/a	yes	SUGAR LAND, TX	Current employment
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Nov 15, 2010	Jul 24, 2018	no	BOERNE, TX\|HOUSTON, TX	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	May 27, 2008	Nov 23, 2010	no	HOUSTON, TX\|LEAGUE CITY, TX\|HOUSTON, TX	Previous registration
NFP ADVISOR SERVICES, LLC	Former SEC adviser	Sep 28, 1998	Sep 27, 2006	no	HOUSTON, TX\|HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA ADVISOR NETWORKS LLC	LPL FINANCIAL LLC	Jul 24, 2018	Jul 9, 2018	-15	Firm change	Ibd to RIA
WOODBURY FINANCIAL SERVICES, INC.	CETERA ADVISOR NETWORKS LLC	Nov 23, 2010	Nov 15, 2010	-8	Firm change	Other
NFP ADVISOR SERVICES, LLC	WOODBURY FINANCIAL SERVICES, INC.	Sep 27, 2006	May 27, 2008	608	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 9, 2018 to presentfactForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Nov 15, 2010 to Jul 24, 2018factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 27, 2008 to Nov 23, 2010factForm ADV
→ NFP ADVISOR SERVICES, LLCRegistered adviserregistration: previous registration
Sep 28, 1998 to Sep 27, 2006factForm ADV

Dated events

No dated event names this entity yet.