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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Tracy Marie Kliewer

Advisor at LPL FINANCIAL LLC

SAN DIEGO, CA | CITRUS HEIGHTS, CA

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Search this name across graphsid dfx:ria:8f721804-039b-a6d0-295c-b5195a285c6e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 2, 2007 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: Sep 22, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 22, 1999
First registration: Aug 2, 2007
Dual registered: yes, broker-dealer
Other names: TRACY MARIE ROBERTSON|TRACY MARIE KLIEWER|TRACY MARIE ROBERTSON|Tracy Kliewer
IAPD individual key: 3043630

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	May 23, 2018	n/a	yes	CITRUS HEIGHTS, CA\|SAN DIEGO, CA	Current employment
NATIONWIDE SECURITIES, LLC	No RAUM reported	Nov 16, 2011	May 9, 2018	no	SACRAMENTO, CA\|OMAHA, NE\|OMAHA, NE\|COLUMBUS, OH	Previous registration
PATHWAY STRATEGIC ADVISORS	Former SEC adviser	Aug 10, 2011	Sep 29, 2011	no	FOLSOM, CA	Previous registration
AW SECURITIES	Former SEC adviser	Jun 11, 2008	Sep 28, 2011	no	FOLSOM, CA\|SACRAMENTO, CA	Previous registration
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Aug 2, 2007	Sep 29, 2011	no	SACRAMENTO, CA	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
NATIONWIDE SECURITIES, LLC	LPL FINANCIAL LLC	May 9, 2018	May 23, 2018	14	Firm change	Other
ALLWORTH FINANCIAL, L.P.	AW SECURITIES	Sep 29, 2011	Jun 11, 2008	-1,205	Firm change after gap	Other
PATHWAY STRATEGIC ADVISORS	NATIONWIDE SECURITIES, LLC	Sep 29, 2011	Nov 16, 2011	48	Firm change	Other
AW SECURITIES	PATHWAY STRATEGIC ADVISORS	Sep 28, 2011	Aug 10, 2011	-49	Firm change after gap	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 23, 2018 to presentfactForm ADV
→ NATIONWIDE SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 16, 2011 to May 9, 2018factForm ADV
→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: previous registration
Aug 2, 2007 to Sep 29, 2011factForm ADV
→ PATHWAY STRATEGIC ADVISORSRegistered adviserregistration: previous registration
Aug 10, 2011 to Sep 29, 2011factForm ADV
→ AW SECURITIESRegistered adviserregistration: previous registration
Jun 11, 2008 to Sep 28, 2011factForm ADV

Dated events

No dated event names this entity yet.