TS
Tracee J. Sapp
CETERA INVESTMENT ADVISERS LLC
ATLANTA, GA 30339
Some features on this profile are disabled
CRD#: 4586525
TS
Professional summary
Tracee J Sapp, CFP®, who also goes by Tracee C Joyner, Tracee J Sapp, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.
Tracee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Tracee has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracee C Joyner | Tracee J Sapp
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: 01/01/2004 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: T. SAPP FINANCIAL PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 01/01/2010 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS:WOODWARD PARENT BOARD INVESTMENT RELATED: NO, ADDRESS: 1662 RUGBY STREET, COLLEGE PARK, GA 30337, NATURE OF BUSINESS: NON-PROFIT, START DATE: 08/2025, POSITION/TITLE/RELATIONSHIP: MIDDLE SCHOOL TREASURER, APX NUMBER OF HOURS PER WEEK: 5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SUBMIT REIMBURSEMENTS FROM COMMITTEE MEMBERS TO THE SCHOOL AND MANAGE THE BUDGET. I DO NOT HAVE ACCESS TO ANY FUNDS.; 4. NAME OF OTHER BUSINESS: JOYNER FINANCIAL LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 1/2001; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LLC FOR TAX PURPOSES ONLY; 5. NAME OF OTHER BUSINESS: EXCHANGE ZONE YOUTH ORGANIZATION; INVESTMENT RELATED: NO; ADDRESS: 5919 SHARP DR, MABLETON, GA 30126; NATURE OF BUSINESS: NON-PROFIT; START DATE: 8/2008; POSITION/TITLE/RELATIONSHIP: REGISTERED AGENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: REGISTERED AGENT FOR A NON-PROFIT;
CRS (Client Relationship Summary) - RIA
Click below to view Tracee J Sapp'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: 2007
Experience
Current
March 21, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6425 Powers Ferry Road Ste 290, Atlanta, GA 30339RIA
CRD#: 105644
ATLANTA, GA
Current
January 25, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 470 E. Paces Ferry Road Suite 200, Atlanta, GA 30305BD
CRD#: 13572
Atlanta, GA
Past
January 21, 2021 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
ATLANTA, GA
Past
January 21, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
February 26, 2004 - January 26, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
ATLANTA, GA
Past
September 18, 2002 - January 26, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
ATLANTA, GA
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
California(1/26/2021)
RR
District of Columbia(5/19/2025)
RR
Florida(1/26/2021)
RR
Georgia(2/4/2021)
IAR
Georgia(3/21/2023)
RR
Illinois(6/2/2021)
RR
Louisiana(2/9/2021)
RR
Maryland(1/26/2021)
RR
Massachusetts(11/8/2022)
RR
Michigan(5/30/2025)
RR
New Jersey(2/5/2021)
RR
New York(2/10/2021)
RR
North Carolina(1/29/2021)
RR
South Carolina(2/9/2021)
RR
Tennessee(2/22/2022)
RR
Texas(1/26/2021)
IAR
Texas(6/29/2023)
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.
