DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Traci Sherrod
Feed of 09/14/2026
Also filed as Traci L Tarpy
At current firm
3 y
since Jun 29, 2023
In the industry
25 y
since Mar 7, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Jun 29, 2023 · San Diego, Ca
- Girard Securities, Inc. formerMay 13, 2013 to Nov 1, 2017 · Englewood, Co
- First Allied Advisory Services, Inc. formerJun 11, 2012 to May 9, 2013 · San Diego, Ca
- First Allied Securities, Inc. formerAug 25, 2009 to Jul 2, 2012 · San Diego, Ca
- LPL Financial LLC BD affiliatedFeb 9, 2007 to Aug 24, 2009 · San Diego, Ca
- Citicorp Investment Services unclassifiedAug 22, 2005 to Feb 15, 2007 · San Diego, Ca
- LPL Financial LLC BD affiliatedDec 2, 2004 to Jul 11, 2005 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Girard Securities, Inc. to Cetera Investment Advisers LLCleft Nov 1, 2017, registered Jun 29, 2023 (2066 days) · Other · moved with a team
- First Allied Advisory Services, Inc. to Girard Securities, Inc.left May 9, 2013, registered May 13, 2013 (4 days) · Other
- First Allied Securities, Inc. to First Allied Advisory Services, Inc.left Jul 2, 2012, registered Jun 11, 2012 (-21 days) · corporate re-registration, not a move
- LPL Financial LLC to First Allied Securities, Inc.left Aug 24, 2009, registered Aug 25, 2009 (1 days) · Other
- Citicorp Investment Services to LPL Financial LLCleft Feb 15, 2007, registered Feb 9, 2007 (-6 days) · Other
- LPL Financial LLC to Citicorp Investment Servicesleft Jul 11, 2005, registered Aug 22, 2005 (42 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address