Traci L. Sherrod
Professional summary
Traci Lynn Sherrod, who also goes by Traci L Tarpy, Traci Lynn Tarpy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in La Mesa, California and CETERA WEALTH SERVICES, LLC located in Saint Paul, Minnesota.
Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Traci has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Traci Lynn Sherrod's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
August 21, 2017 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101Office #3: 2820 Central Avenue, Homewood, AL 35203Office #4: 400 1st St S Ste 300, St Cloud, MN 56301Office #5: 400 1st St S Ste 300, St Cloud, MN 56301August 21, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
May 13, 2013 - November 1, 2017
GIRARD SECURITIES, INC.
May 7, 2013 - November 1, 2017
GIRARD SECURITIES, INC.
June 11, 2012 - May 9, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
August 25, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
August 13, 2009 - May 7, 2013
FIRST ALLIED SECURITIES, INC.
February 9, 2007 - August 24, 2009
LPL FINANCIAL LLC
February 9, 2007 - August 24, 2009
LPL FINANCIAL LLC
August 22, 2005 - February 15, 2007
CITICORP INVESTMENT SERVICES
August 22, 2005 - February 15, 2007
CITICORP INVESTMENT SERVICES
December 2, 2004 - July 11, 2005
LPL FINANCIAL LLC
October 1, 2003 - July 11, 2005
LPL FINANCIAL LLC
March 1, 2001 - October 3, 2003
TD AMERITRADE, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/21/2017)
(8/22/2017)
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(6/29/2023)
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(8/24/2017)
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(6/29/2023)
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(8/23/2017)
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
