Tracy L. Nelson

CETERA INVESTMENT ADVISERS LLC

ST CLOUD, MN 56301

Some features on this profile are disabled

CRD#: 1828708

Professional summary

Tracy Lynn Nelson is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Cloud, Minnesota and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.

Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Tracy has worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Lynn Nelson's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 31, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

RIA

CRD#: 105644

ST CLOUD, MN

Current

July 18, 1994 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 15340

St Cloud, MN

Current

February 7, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301Office #2: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 13572

ST CLOUD, MN

Current

February 7, 2013 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 10358

St Cloud, MN

Current

February 7, 2013 - Present

CETERA ADVISORS LLC

Office #1: 400 1st St S Ste 300, St Cloud, MN 56301

CRD#: 10299

St Cloud, MN

Past

April 8, 2025 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

ST CLOUD, MN

Past

March 26, 2018 - December 3, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

ST CLOUD, MN

Past

March 26, 2018 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

ST CLOUD, MN

Past

March 8, 2000 - December 31, 2010

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

March 7, 2000 - November 14, 2003

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

August 29, 1996 - November 18, 2009

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, MN

Past

June 22, 1988 - September 10, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

June 22, 1988 - September 10, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Minnesota
(10/24/1994)

IAR

Minnesota
(1/31/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 11/6/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/26/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Nathan Bosek

FARTHER

IAR

Sartell, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tracy L. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Lynn Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

SUMMIT BROKERAGE SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

GUARANTY BROKERAGE SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCNORTH INVESTMENT GROUP, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1994

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1994

Series 53

Date: 11/6/1996

Series 24

Date: 8/26/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

Similar Advisors