Tracy Lynn Baker

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2004 → 10/2016
  Investors Capital
  Lynnfield, MA
• 03/1993 → Present
  J. Marshall & Associates
  Fall River, MA
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-06-16 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Lynnfield, MA
  Fall River, MA
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA
• 2004-01-20 → 2005-06-16
  Eastern Point Advisors Inc.
  Fall River, MA
• 2000-09-26 → 2003-12-31
  New England Securities
  Providence, RI

Other Businesses

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;

Exams

• S66 Uniform Combined State Law Examination
  1999-12-18

Other Names

• Tracy Lynn Rego