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TP

Tracy L. Piontkowski

CETERA INVESTMENT ADVISERS
Oshkosh, WI 54904
Some features on this profile are disabled
CRD#: 1965565
TP

Professional summary

Tracy Lee Piontkowski, ChFC®, who also goes by Tracy Lee Pionthowski, Tracy L Piontkowski, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Oshkosh, Wisconsin and CETERA WEALTH SERVICES, LLC located in Oshkosh, Wisconsin.

Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Tracy has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tracy Lee Pionthowski | Tracy L Piontkowski

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 Lee Piontkowski'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®
ChFC®

Chartered Financial Consultant

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2380 Hwy 44 Ste B, Oshkosh, WI 54904
RIA
CRD#: 105644
Oshkosh, WI
Current

June 9, 2021 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2380 Hwy 44 Ste B, Oshkosh, WI 54903
BD
CRD#: 13572
OSHKOSH, WI
Past

June 9, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

March 26, 2009 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
Oshkosh, WI
Past

March 1, 2006 - March 1, 2006

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
Oshkosh, WI
Past

January 1, 2004 - June 9, 2021

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
Oshkosh, WI
Past

January 1, 2002 - January 1, 2004

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

August 16, 2000 - January 1, 2002

BMA FINANCIAL SERVICES, INC.

BD
CRD#: 7943
KANSAS CITY, MO
Past

April 3, 1997 - August 17, 2000

HARBOUR INVESTMENTS, INC.

BD
CRD#: 19258
MADISON, WI
Past

June 5, 1995 - April 7, 1997

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

January 15, 1993 - June 2, 1995

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

August 4, 1989 - January 1, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

August 4, 1989 - January 1, 1993

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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
Arkansas
(9/13/2021)
RR
California
(6/9/2021)
RR
Florida
(6/10/2021)
RR
Georgia
(6/9/2021)
RR
Minnesota
(6/9/2021)
RR
Washington
(8/26/2025)
RR
Wisconsin
(6/9/2021)
IAR
Wisconsin
(6/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/24/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/1/1989
Investment Company Products/Variable Contracts Representative Examination
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
Registered Investment Advisory firm - (1/13/1984 Approved)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Oshkosh, WI 54904

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