Michael Kent Tracy

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

• 02/2010 → 10/2017
  Investment Centers Of America
  West Des Moines, IA
• 10/2017 → 08/2025
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 10/2017 → 08/2025
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 08/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 05/2014 → Present
  Tracy Wealth Management Dba One Wealth
  West Des Moines, IA

Previous Registrations

• 2017-10-16 → 2025-08-15
  Cambridge Investment Research Advisors, Inc.
  West Des Moines, IA
  Naples, FL
• 2010-02-12 → 2017-10-16
  Investment Centers Of America, Inc.
  West Des Moines, IA
  West Des Moines, IA
• 1999-12-27 → 2010-02-26
  Rbc Capital Markets, Llc
  Clive, IA
  Clive, IA

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: 01/1998 APX NUMBER OF HOURS PER WEEK: .1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: TRACY WEALTH MANAGEMENT DBA ONE WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2014 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 36 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES

Exams

• S66 Uniform Combined State Law Examination
  2006-01-30
• S63 Uniform Securities Agent State Law Examination
  1986-02-21

Other Names

• Mike Tracy