DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

TRACY LYNN HELMER

Advisor at LPL FINANCIAL LLC

OWENSBORO, KY | NEWBURGH, IN | EVANSVILLE, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:06628a47-2e66-6527-b813-83f1e7a48740

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 8, 2004 to Sep 15, 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: Aug 31, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Aug 31, 2004
First registration: Sep 8, 2004
Dual registered: yes, broker-dealer
Other names: TRACY LYNN POOLE|TRACY HELMER
IAPD individual key: 4803908

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	Nov 13, 2012	n/a	yes	EVANSVILLE, IN\|OWENSBORO, KY\|NEWBURGH, IN	Current employment
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Sep 24, 2010	Mar 15, 2011	no	EVANSVILLE, IN\|SAN ANTONIO, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 30, 2009	Nov 3, 2010	no	FORT MILL, SC\|EVANSVILLE, IN\|EVANSVILLE, IN	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Nov 30, 2005	Dec 1, 2009	no	EVANSVILLE, IN\|EVANSVILLE, IN\|EVANSVILLE, IN	Previous registration
ONB INVESTMENT SERVICES, INC.	n/a	Sep 8, 2004	Dec 1, 2005	no	EVANSVILLE, IN	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
INVESTMENT PROFESSIONALS, INC.	LPL FINANCIAL LLC	Mar 15, 2011	Nov 13, 2012	609	Firm change after gap	Other
LPL FINANCIAL LLC	INVESTMENT PROFESSIONALS, INC.	Nov 3, 2010	Sep 24, 2010	-40	Firm change after gap	Other
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Dec 1, 2009	Nov 30, 2009	-1	Firm change	Other
ONB INVESTMENT SERVICES, INC.	INVEST FINANCIAL CORPORATION	Dec 1, 2005	Nov 30, 2005	-1	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 30, 2009 to Nov 3, 2010factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Sep 24, 2010 to Mar 15, 2011factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Nov 30, 2005 to Dec 1, 2009factForm ADV
→ ONB INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Sep 8, 2004 to Dec 1, 2005factForm ADV

Dated events

No dated event names this entity yet.