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Tracy Lynn Baker

Cetera Investment Advisers LLC

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About Tracy Lynn Baker

Tracy Lynn Baker is a registered investment advisor representative with Cetera Investment Advisers LLC. Tracy has been in the financial services industry since 1999. Tracy is a licensed agent with Investors Capital and J. Marshall & Associates. Tracy has served as a financial representative and office manager for J. Marshall & Associates for over 30 years. Tracy has experience in fixed insurance, securities, and insurance sales. Tracy is licensed in 29 states.

Firm Information

Tracy Baker is currently registered with Cetera Investment Advisers LLC. Cetera Investment Advisers LLC is a financial services firm headquartered in Schaumburg, Illinois. The firm offers a wide range of financial planning and investment advisory services to individuals, corporations, pension plans, and charitable organizations. Cetera manages over $104 billion in assets for clients. The firm has a large network of licensed financial advisors and investment advisory representatives, serving over 423,000 clients across the country.
Cetera Investment Advisers LLC

1450 AMERICAN LANE

SCHAUMBURG, IL 60173-2096

$104.47B

Assets Under Management

16,618

Total Clients

7,280

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Tracy Baker’s Registration & Firm History

MA

03/21/2024 - Present

Cetera Investment Advisers LLC (FALL RIVER MA)

MA

01/20/2004 - 10/03/2016

INVESTORS CAPITAL CORP. (FALL RIVER MA)

NY

11/19/1999 - 12/31/2003

NEW ENGLAND SECURITIES (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/18/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/27/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tracy Lynn Baker.
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