Tracey M. Sieja
Professional summary
Tracey Mary Sieja, who also goes by Tracey Mary Houlihan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Downers Grove, Illinois and CETERA FINANCIAL SPECIALISTS LLC located in Downers Grove, Illinois.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Tracey has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Mary Sieja's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2016 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1431 Opus Place Suite 200, Downers Grove, IL 60515October 3, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1431 Opus Place Suite 622, Downers Grove, IL 60515Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2016)
(10/14/2016)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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