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Traci Lynn Sherrod
TRACI L TARPY, TRACI LYNN TARPY
CRD#: 4321192
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 LA MESA, CA
CETERA ADVISOR NETWORKS LLCCRD#: 13572 LA MESA, CA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2007 (1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2013 - 2017 (4 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2017 - Present (7 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2009 - 2013 (3 years)BLINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2003 - 2005 (1 year)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)2001 - 2003 (2 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2017 - 2023 (5 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2013 (<1 year)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2009 - 2012 (2 years)IALINSCO/PRIVATE LEDGER CORP. (CRD# 6413)2004 - 2005 (<1 year)
License(s)

State Registrations

B
Alabama 8/21/2017

B
Montana 8/21/2017

B
Alaska 8/22/2017

B
Nebraska 8/24/2017

B
Arizona 8/21/2017

B
Nevada 11/1/2017

B
Arkansas 8/21/2017

B
New Hampshire 8/21/2017

B
California 8/21/2017

B
New Jersey 8/21/2017

IA
California 6/29/2023

B
New Mexico 8/21/2017

B
Colorado 8/21/2017

B
New York 8/21/2017

B
Connecticut 8/21/2017

B
North Carolina 11/1/2017

B
Delaware 8/21/2017

B
North Dakota 8/21/2017

B
District of Columbia 8/21/2017

B
Ohio 11/1/2017

B
Florida 8/21/2017

B
Oklahoma 8/21/2017

B
Georgia 8/21/2017

B
Oregon 8/22/2017

B
Hawaii 8/21/2017

B
Pennsylvania 8/22/2017

B
Idaho 8/21/2017

B
Puerto Rico 8/21/2017

B
Illinois 8/21/2017

B
Rhode Island 8/21/2017

B
Indiana 11/1/2017

B
South Carolina 8/21/2017

B
Iowa 8/21/2017

B
South Dakota 8/21/2017

B
Kansas 8/21/2017

B
Texas 8/21/2017

B
Kentucky 8/21/2017

IA
Texas 6/29/2023

B
Louisiana 8/21/2017

B
Utah 8/22/2017

B
Maine 8/21/2017

B
Vermont 8/21/2017

B
Maryland 8/21/2017

B
Virginia 8/22/2017

B
Massachusetts 8/22/2017

B
Washington 8/21/2017

B
Michigan 8/21/2017

B
West Virginia 8/23/2017

B
Minnesota 8/21/2017

B
Wisconsin 8/21/2017

B
Mississippi 8/21/2017

B
Wyoming 8/21/2017

B
Missouri 8/21/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
LA MESA, CA
Registered with this firm since 6/29/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
LA MESA, CA
Registered with this firm since 8/21/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
08/21/2017 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
05/13/2013 - 11/01/2017 GIRARD SECURITIES, INC. (CRD#:18697) SAN DIEGO, CA
B
05/07/2013 - 11/01/2017 GIRARD SECURITIES, INC. (CRD#:18697) SAN DIEGO, CA
IA
06/11/2012 - 05/09/2013 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) SAN DIEGO, CA
B
08/13/2009 - 05/07/2013 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
IA
08/25/2009 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
IA
02/09/2007 - 08/24/2009 LPL FINANCIAL CORPORATION (CRD#:6413) SAN DIEGO, CA
B
02/09/2007 - 08/24/2009 LPL FINANCIAL CORPORATION (CRD#:6413) SAN DIEGO, CA
IA
08/22/2005 - 02/15/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN DIEGO, CA
B
08/22/2005 - 02/15/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) SAN DIEGO, CA
IA
12/02/2004 - 07/11/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) SAN DIEGO, CA
B
10/01/2003 - 07/11/2005 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) FORT MILL, SC
B
03/01/2001 - 10/03/2003 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.