TB
Tracy L. Bevel
CETERA INVESTMENT ADVISERS LLC
SPRINGFIELD, MO 65804
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CRD#: 4189996
TB
Professional summary
Tracy Lynn Bevel, who also goes by Tracy Lynn Adler, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Springfield, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Springfield, Missouri.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Tracy has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Lynn Adler
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) 3 HOUNDS LIMITED, LLC, INVESTMENT RELATED, SPRINGFIELD, MO, MEMBER/PART OWNER OF LLC, CREATED FOR PURCHASE OF COMMERCIAL REAL ESTATE, 0H/WEEK, SINCE 09/2011 2) CLANCY'S ADVENTURE, LLC, INVESTMENT RELATED, SPRINGFIELD, MO, PART OWNER, MEMBER, NOT INVOLVED IN DAY-TO-DAY OPERATIONS, LLC CREATED TO OPEN RESTAURANT, PITCH PIZZA & PUB, 1H/WEEK, SINCE 12/2016 3) NOTARY PUBLIC, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, NOTARY PUBLIC IN MISSOURI, 0H/WEEK, SINCE 11/2021 4) SANFORD & ASSOCIATES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, EMPLOYEE, REGISTERED SALES ASSISTANT, ADMINISTRATIVE DUTIES, TRANSFER REQUESTS, PLACING TRADES, RUNNING PERFORMANCE REPORTS, CREATE ADVISORY PROPOSALS, 45H/WEEK, 32.5 H/WEEK DURING TRADING HOURS, SINCE 01/2022.
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lynn Bevel'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
August 7, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1655 S Enterprise Ave Ste B-4, Springfield, MO 65804RIA
CRD#: 105644
SPRINGFIELD, MO
Current
August 7, 2023 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 1655 S Enterprise Ave Ste B-4, Springfield, MO 65804BD
CRD#: 10358
Springfield, MO
Past
June 2, 2022 - August 9, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
Springfield, MO
Past
February 11, 2022 - August 9, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SPRINGFIELD, MO
Past
July 6, 2018 - February 9, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
SPRINGFIELD, MO
Past
March 25, 2017 - July 19, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Springfield, MO
Past
January 22, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MO
Past
August 14, 2007 - May 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SPRINGFIELD, MO
Past
December 5, 2006 - May 20, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SPRINGFIELD, MO
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(8/7/2023)
RR
Missouri(8/7/2023)
IAR
Missouri(8/7/2023)
Exams
State Security Law 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
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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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Springfield, MO 65804TRUST BUT VERIFY
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