Unclaimed Profile

Tracie Lynne Southerland

OPES WEALTH MANAGEMENT, LLC·MENLO PARK, California

Series 6, Series 63, Series 65Clean record20 years registeredOPES WEALTH MANAGEMENT, LLC

535 MIDDLEFIELD ROAD, MENLO PARK, CA 94025CRD# 1376311Firm CRD# 299704

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Tracie Lynne Southerland · MENLO PARK, CA

Registration

CRD #1376311 · OPES WEALTH MANAGEMENT, LLC · 20 years registered

Brand Profile

Not yet started

Career History

EP WEALTH ADVISORS

Jun 2026 – present

OPES WEALTH MANAGEMENT, LLC

Dec 2018 – present

OPES ADVISORS, INC.

Nov 2005 – Jun 2017

PALO ALTO, CA

Registrations & Exams

FINRA examinations passed

Series 6

Series 63

Series 65

Registration record

First registered · November 24, 2005

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

OPES WEALTH MANAGEMENT, LLC

CRD 299704 · SEC 801-114436

AUM

$590M

Regulatory assets under management

Employees

364 client accounts

Services offered by OPES WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at OPES WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Tracie Lynne Southerland offer?

Tracie Lynne Southerland specializes in Financial Planning, Investment Management. Contact their office in MENLO PARK, California for a consultation.

What are Tracie Lynne Southerland's credentials?

Tracie Lynne Southerland is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tracie Lynne Southerland located?

Tracie Lynne Southerland is based in MENLO PARK, California, working with OPES WEALTH MANAGEMENT, LLC. Their office serves clients in the MENLO PARK metropolitan area and surrounding communities.

How does Tracie Lynne Southerland charge for services?

Tracie Lynne Southerland's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is OPES WEALTH MANAGEMENT, LLC?

OPES WEALTH MANAGEMENT, LLC has approximately 9 employees and manages $590M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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