TC
Tracey J. Childers-gummo
CETERA INVESTMENT ADVISERS LLC
STATE COLLEGE, PA 16803
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CRD#: 2180510
TC
Professional summary
Tracey Jo Childers-gummo, CFP®, who also goes by Tracey Jo Childers, Tracey Jo Harpster, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in State College, Pennsylvania and CETERA WEALTH SERVICES, LLC located in State College, Pennsylvania.
Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Tracey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 11 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracey Jo Childers | Tracey Jo Harpster
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 ENTITY: State College Order of the Eastern Star #388; No; 240 S FRASER ST; STATE COLLEGE; PA; 16801; Fraternal Organization; Treasurer; 6/1/2015; 3; 0; OVER SEE PAYING BILLS AND ATTEND MEETINGS 2. NAME OF ENTITY: CENTRE COUNTY CHAPTER KECA; No; 134 HOMESTEAD DR; BENEZETTE; PA; 15821; NON-PROFIT ORGANIZATION; MEMBER; 12/1/2017; 10; 0; TO CONSERVE AND ENHANCE PA ELK COUNTRY.ASSIST WITH FUNDRAISING AND MEMBERSHIP AND BANQUET RESERVATIONS. 3. NAME OF OTHER BUSINESS: LFM WEALTH MANAGEMENT; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL AND INSURANCE SERVICES; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL AND INSURANCE SERVICES; 4. NAME OF ENTITY: Greater Grace Fellowship, Inc.; No; 201 CAYUGA AVE; ALTOONA; PA; 16602; NON-PROFIT ORGANIZATION; Bookkeeper; 1/1/2015; 5; 0; OVERSEE ACCOUNTANT FIRM 5. NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 409 S PUGH ST; STATE COLLEGE; PA; 16801; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/4/2016; 10; 10; SALES OF FIXED INSURANCE PRODUCTS 6. NAME OF ENTITY: Lifestyle Financial Matters; No; 409 S PUGH ST; STATE COLLEGE; PA; 16801; TAX PREPARATION; OWNER; 1/1/2013; 173; 173; TAX PREP/ACCOUNTING/BOOKKEEPING| 7. NAME OF OTHER BUSINESS: ALL THE BEAUTIFUL THINGS; INVESTMENT RELATED: NO; ADDRESS: 537 5TH ST TYRONE, PA 16686; NATURE OF BUSINESS: NON PROFIT; START DATE:02/2023; POSITION/TITLE/RELATIONSHIP BOARD OF DIRECTORS/TREASURER:; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: OVERSEE FINANCIAL ADMINISTRATION, ADVISE ON STRATEGY, FUNDRAISING, REVIEW & ENFORCE FINANCIAL POLICIES, PROCEDURES, REPORTS, BUDGET;
CRS (Client Relationship Summary) - RIA
Click below to view Tracey Jo Childers-gummo'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®
CFP®
Start date: 2003
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2134 Sandy Drive Suite 16, State College, PA 16803RIA
CRD#: 105644
STATE COLLEGE, PA
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2134 Sandy Drive Suite 16, State College, PA 16803BD
CRD#: 13572
STATE COLLEGE, PA
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 14, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
State College, PA
Past
January 4, 2016 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
State College, PA
Past
July 23, 2008 - March 21, 2016
WORLD CAPITAL ADVISORS, LLC
RIA
CRD#: 135941
STATE COLLEGE, PA
Past
May 3, 2007 - December 31, 2015
WORLD CAPITAL BROKERAGE, INC.
BD
CRD#: 37
State College, PA
Past
November 13, 1992 - May 10, 2007
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
STATE COLLEGE, PA
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
District of Columbia(6/9/2021)
RR
Florida(6/10/2021)
RR
Maryland(6/9/2021)
RR
Massachusetts(8/5/2021)
RR
New Jersey(6/9/2021)
RR
New York(4/4/2022)
RR
North Carolina(6/9/2021)
RR
Ohio(3/18/2022)
RR
Pennsylvania(6/9/2021)
IAR
Pennsylvania(6/29/2023)
RR
Virginia(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 11/9/1992
Assistant Representative-Order Processing Qualification ExamSRO 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)Upgrade to AdvisorCheck 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)
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644State College, PA 16803TRUST BUT VERIFY
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