MT
Michael K. Tracy
CETERA INVESTMENT ADVISERS LLC
WEST DES MOINES, IA 50266
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CRD#: 1457483
MT
Professional summary
Michael Kent Tracy, who also goes by Mike Tracy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Des Moines, Iowa and CETERA WEALTH SERVICES, LLC located in West Des Moines, Iowa.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Tracy
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/1998 APX NUMBER OF HOURS PER WEEK: .1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: TRACY WEALTH MANAGEMENT DBA ONE WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2014 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 36 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES
CRS (Client Relationship Summary) - RIA
Click below to view Michael Kent Tracy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 6, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6600 Westown Pkwy Suite 165, West Des Moines, IA 50266Office #3: 1055 Jordan Creek Parkway Suite 116, West Des Moines, IA 50266RIA
CRD#: 105644
WEST DES MOINES, IA
Current
August 6, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6600 Westown Pkwy Ste 165, West Des Moines, IA 50266Office #3: 1055 Jordan Creek Parkway Suite 130, West Des Moines, IA 50266BD
CRD#: 13572
WEST DES MOINES, IA
Past
October 16, 2017 - August 15, 2025
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
West Des Moines, IA
Past
October 16, 2017 - August 15, 2025
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
West Des Moines, IA
Past
February 12, 2010 - October 16, 2017
INVESTMENT CENTERS OF AMERICA, INC.
RIA
CRD#: 16443
west des moines, IA
Past
February 11, 2010 - October 16, 2017
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
west des moines, IA
Past
December 27, 1999 - February 26, 2010
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CLIVE, IA
Past
January 4, 1999 - February 26, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CLIVE, IA
Past
May 20, 1992 - January 7, 1999
STANTON INVESTMENT SERVICES, INC.
BD
CRD#: 29462
PLYMOUTH, MN
Past
June 1, 1988 - April 14, 1992
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
April 20, 1987 - June 3, 1988
ALLIED GROUP SECURITIES CORPORATION
BD
CRD#: 3638
Past
August 20, 1986 - May 8, 1987
R. ROWLAND & CO., INCORPORATED
BD
CRD#: 911
Past
February 20, 1986 - April 24, 1986
FIRST JERSEY SECURITIES, INC.
BD
CRD#: 6621
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/6/2025)
RR
Arizona(8/6/2025)
RR
California(8/6/2025)
RR
Colorado(8/6/2025)
RR
Florida(8/6/2025)
IAR
Florida(8/12/2025)
RR
Illinois(8/6/2025)
RR
Indiana(8/6/2025)
RR
Iowa(8/6/2025)
IAR
Iowa(8/6/2025)
RR
Minnesota(8/6/2025)
RR
Missouri(8/6/2025)
RR
Nebraska(8/6/2025)
RR
Nevada(8/6/2025)
RR
New Jersey(9/5/2025)
RR
New York(8/6/2025)
RR
North Carolina(8/15/2025)
RR
Oklahoma(8/6/2025)
RR
Oregon(8/6/2025)
RR
Pennsylvania(8/6/2025)
RR
Texas(8/6/2025)
IAR
Texas(8/6/2025)
RR
Virginia(8/6/2025)
RR
Washington(10/24/2025)
RR
Wisconsin(8/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644West Des Moines, IA 50266TRUST BUT VERIFY
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