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Detailed Report
TRACY LEE PIONTKOWSKI
TRACY LEE PIONTHOWSKI, TRACY L PIONTKOWSKI
CRD#: 1965565
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1429 OREGON ST SUITE D
OSHKOSH, WI 54902
CETERA ADVISOR NETWORKS LLCCRD#: 13572 1429 OREGON ST SUITE D
OSHKOSH, WI 54902
Registration History
199019952000200520102015202020252 FIRMS1989 - 1993 (3 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - Present (3 years)BVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2004 - 2021 (17 years)BLOCUST STREET SECURITIES, INC. (CRD# 1703)2002 - 2004 (2 years)BBMA FINANCIAL SERVICES, INC. (CRD# 7943)2000 - 2002 (1 year)BHARBOUR INVESTMENTS, INC. (CRD# 19258)1997 - 2000 (3 years)BSECURA INVESTMENTS, INC. (CRD# 2225)1995 - 1997 (1 year)BWASHINGTON SQUARE SECURITIES, INC. (CRD# 2882)1993 - 1995 (2 years)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2021 - 2023 (2 years)IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2009 - 2021 (12 years)IAING FINANCIAL PARTNERS, INC (CRD# 2882)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Arkansas 9/13/2021
B
Tennessee 5/13/2024
B
California 6/9/2021
B
Virginia 9/20/2024
B
Florida 6/10/2021
B
Wisconsin 6/9/2021
B
Georgia 6/9/2021
IA
Wisconsin 6/29/2023
B
Minnesota 6/9/2021

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)
1429 OREGON ST SUITE D, OSHKOSH, WI 54902
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
1429 OREGON ST SUITE D, OSHKOSH, WI 54902
Registered with this firm since 6/9/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/09/2021 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 03/26/2009 - 06/09/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) Oshkosh, WI
B
 01/01/2004 - 06/09/2021 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) Oshkosh, WI
IA
 03/01/2006 - 03/01/2006 ING FINANCIAL PARTNERS, INC (CRD#:2882) Oshkosh, WI
B
 01/01/2002 - 01/01/2004 LOCUST STREET SECURITIES, INC. (CRD#:1703) DES MOINES, IA
B
 08/16/2000 - 01/01/2002 BMA FINANCIAL SERVICES, INC. (CRD#:7943) KANSAS CITY, MO
B
 04/03/1997 - 08/17/2000 HARBOUR INVESTMENTS, INC. (CRD#:19258) MADISON, WI
B
 06/05/1995 - 04/07/1997 SECURA INVESTMENTS, INC. (CRD#:2225) APPLETON, WI
B
 01/15/1993 - 06/02/1995 WASHINGTON SQUARE SECURITIES, INC. (CRD#:2882) WINDSOR, CT
B
 08/04/1989 - 01/01/1993 JOHN HANCOCK DISTRIBUTORS, INC. (CRD#:468) BOSTON, MA
B
 08/04/1989 - 01/01/1993 JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (CRD#:5181) BOSTON, MA
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.