TB
Tracy L. Baker
CETERA INVESTMENT ADVISERS LLC
FALL RIVER, MA 02723
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CRD#: 4000665
TB
Professional summary
Tracy Lynn Baker, who also goes by Tracy Lynn Rego, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fall River, Massachusetts and CETERA ADVISORS LLC located in Fall River, Massachusetts.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Tracy has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Lynn Rego
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 REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 8/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, DISABILITY, ANNUITIES & LONG TERM CARE;
2. NAME OF OTHER BUSINESS: REAL ESTATE RENTAL,
INVESTMENT RELATED: NO,
ADDRESS: 35 SHADOWBROOK XING EAST GREENWICH RI 02818,
NATURE OF BUSINESS: REANTAL OF SINGLE FAMILY HOME AT 607 REGAN ROAD, SOMERSET, MA 02726,
START DATE: 8/2015,
APX NUMBER OF HOURS PER WEEK: 1,
APX NUMBER OF TRADING HOURS PER WEEK: 1,
POSITION/TITLE/RELATIONSHIP: 100% OWNER,
BRIEF DESCRIPTION OF DUTIES: GENERAL OWNERSHIP DUTIES;
3. NAME OF OTHER BUSINESS: J. MARSHALL ASSOCIATES & J. MARSHALL ASSOCIATES INSURANCE SERVICES, INC,
INVESTMENT RELATED: YES,
ADDRESS: 982 EASTERN AVE FALL RIVER MA 02723,
NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES, SECURITIES,NSURANCE SALES,
START DATE: 3/1993,
APX HOURS PER WEEK: 30,
APX TRADING HOURS PER WEEK: 30,
OFFICE MGR & FINCL REPRESENTATIVE,
BRIEF DESCRIPTION OF DUTIES: SUPERVISE OFFICE AND STAFF, MEET WITH AND SERVICE CLIENTS, INSURANCE AND FIXED SALES, AND BOOKKEEPING DUTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lynn Baker'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 982 Eastern Ave, Fall River, MA 02723RIA
CRD#: 105644
FALL RIVER, MA
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 982 Eastern Ave, Fall River, MA 02723BD
CRD#: 10299
Fall River, MA
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
EAST GREENWICH, RI
Past
June 16, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
FALL RIVER, MA
Past
January 20, 2004 - June 16, 2005
EASTERN POINT ADVISORS INC.
RIA
CRD#: 107123
FALL RIVER, MA
Past
January 20, 2004 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
FALL RIVER, MA
Past
September 26, 2000 - December 31, 2003
NEW ENGLAND SECURITIES
RIA
CRD#: 615
PROVIDENCE, RI
Past
November 19, 1999 - December 31, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
Alaska(10/3/2016)
RR
Arkansas(1/3/2017)
RR
California(10/3/2016)
RR
Colorado(1/26/2023)
RR
Connecticut(10/3/2016)
RR
Florida(10/3/2016)
RR
Georgia(1/12/2018)
RR
Hawaii(12/20/2022)
RR
Indiana(6/17/2022)
RR
Maine(10/3/2016)
RR
Maryland(8/29/2019)
RR
Massachusetts(10/3/2016)
IAR
Massachusetts(3/21/2024)
RR
Montana(7/16/2024)
RR
Nevada(7/26/2021)
RR
New Hampshire(10/3/2016)
RR
New Jersey(10/3/2016)
RR
New Mexico(8/29/2019)
RR
New York(1/2/2019)
RR
North Carolina(10/3/2016)
RR
Pennsylvania(10/3/2016)
RR
Rhode Island(10/3/2016)
RR
South Carolina(1/3/2017)
RR
Texas(1/3/2017)
IAR
Texas(3/21/2024)
RR
Vermont(3/6/2024)
RR
Virginia(8/5/2020)
RR
Washington(1/27/2021)
RR
Wisconsin(6/17/2022)
Exams
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
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#: 105644Fall River, MA 02723TRUST BUT VERIFY
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