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Detailed Report
TRACEY MARY SIEJA
TRACEY MARY HOULIHAN
CRD#: 1205830
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 NEW LENOX, IL
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 1431 OPUS PLACE
SUITE 622
DOWNERS GROVE, IL 60515
Registration History
20132014201520162017201820192020202120222023202420252026IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2016 - Present (8 years)BCETERA FINANCIAL SPECIALISTS LLC (CRD# 10358)2013 - Present (11 years)
License(s)

State Registrations

B
Illinois 10/14/2016
IA
Illinois 10/14/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
NEW LENOX, IL
1431 OPUS PLACE SUITE 622, DOWNERS GROVE, IL 60515
Registered with this firm since 10/14/2016
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
1431 OPUS PLACE SUITE 622, DOWNERS GROVE, IL 60515
NEW LENOX, IL
Registered with this firm since 10/3/2013
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.