Tracee J Sapp

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

• 09/2002 → 01/2021
  Principal Life Ins Co
  Atlanta, GA
• 01/2010 → Present
  T Sapp Financial Partners
  Atlanta, GA
• 03/2016 → 01/2021
  Principal Securities Inc
  Atlanta, GA
• 01/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 01/2021 → 05/2021
  Summit Financial Group Inc.
  Atlanta, GA
• 03/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2001 → Present
  Joyner Financial Llc
  Atlanta, GA

Previous Registrations

• 2021-01-21 → 2021-05-20
  Summit Financial Group Inc
  Atlanta, GA
• 2004-02-26 → 2021-01-26
  Principal Securities, Inc.
  Atlanta, GA
  Atlanta, GA
  Atlanta, GA

Other Businesses

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: CEO APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: SEC DBA 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;

Exams

• S63 Uniform Securities Agent State Law Examination
  2002-10-09
• S65 Uniform Investment Adviser Law Examination
  2002-05-21

Designations

• Certified Financial Planner

Other Names

• Tracee C Joyner
• Tracee J Sapp