TV
Tracy B. Veillette
CETERA INVESTMENT ADVISERS LLC
NEW BRIGHTON, MN
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CRD#: 2227000
TV
Professional summary
Tracy Benjamin Veillette, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New Brighton, Minnesota and CETERA WEALTH SERVICES, LLC located in Maple Grove, Minnesota.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Tracy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
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: 11/2022; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS FIXED ANNUITIES; 2. NAME OF OTHER BUSINESS: TRACY VEILLETTE INVESTMENT RELATED: NO ADDRESS: 3519 EDWARD ST NE SAINT ANTHONY MN 55418 NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: LANDORD DUTIES
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Benjamin Veillette'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: 2001
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #3: 101 Broadway Street West Suite 103, Maple Grove, MN 55369RIA
CRD#: 105644
NEW BRIGHTON, MN
Current
December 7, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 101 Broadway Street West Suite 103, Maple Grove, MN 55369BD
CRD#: 13572
Maple Grove, MN
Past
December 7, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 30, 2014 - December 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MINNEAPOLIS, MN
Past
January 3, 2011 - December 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
MINNEAPOLIS, MN
Past
December 9, 1997 - September 22, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
MINNEAPOLIS, MN
Past
May 12, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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(1/3/2023)
RR
Arizona(12/7/2021)
RR
California(12/7/2021)
RR
Colorado(1/6/2022)
RR
Florida(12/7/2021)
RR
Illinois(12/7/2021)
RR
Kansas(2/13/2023)
RR
Michigan(1/6/2022)
RR
Minnesota(12/7/2021)
IAR
Minnesota(6/29/2023)
RR
New Jersey(12/7/2021)
RR
New York(12/7/2021)
RR
North Carolina(12/7/2021)
RR
Pennsylvania(12/7/2021)
RR
South Carolina(12/7/2021)
RR
Texas(12/7/2021)
IAR
Texas(6/29/2023)
RR
Virginia(2/12/2024)
RR
Wisconsin(12/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
