Tracy Eric Ham

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
ID	RA	APPROVED	2025-10-21
CA	RA	APPROVED	2024-03-21
TX	RA	APPROVED_RES	2024-03-21

ID RA
APPROVED

Since 2025-10-21
CA RA
APPROVED

Since 2024-03-21
TX RA
APPROVED_RES

Since 2024-03-21

Branch Locations

Meridian, ID • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Advisors Llc	Denver	CO	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

01/2013 → Present

Cetera Advisors Llc

Denver, CO
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) NAME OF OTHER BUSINESS: PRINCIPLE RESOURCE GROUP INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 6/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-01-26
S63	Uniform Securities Agent State Law Examination	1986-02-05

S65 Uniform Investment Adviser Law Examination

2002-01-26
S63 Uniform Securities Agent State Law Examination

1986-02-05

Other Names

Tracy E Ham

View on SEC IAPD