Unclaimed Profile

Tracey Elizabeth Brooten

GUNDERSON CAPITAL MANAGEMENT·SAN DIEGO, California

Series 7, Series 66Clean record21 years registeredGUNDERSON CAPITAL MANAGEMENT

101 WEST BROADWAY, SAN DIEGO, CA 92101CRD# 4874417Firm CRD# 140795

Profile Verification

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

Identity

Tracey Elizabeth Brooten · SAN DIEGO, CA

Registration

CRD #4874417 · GUNDERSON CAPITAL MANAGEMENT · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: GUNDERSON CAPITAL MANAGEMENT

GUNDERSON CAPITAL MANAGEMENT

Feb 2014 – Sep 2016

SAN DIEGO, CA

AMERIPRISE FINANCIAL SERVICES, INC.

Jan 2005 – Oct 2013

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 66

Registration record

First registered · January 19, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GUNDERSON CAPITAL MANAGEMENT

CRD 140795 · SEC 801-122484

AUM

$228M

Regulatory assets under management

Employees

1,210 client accounts

Services offered by GUNDERSON CAPITAL MANAGEMENT

Per Form ADV

Financial planning

Portfolio management (individuals)

Market timing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at GUNDERSON CAPITAL MANAGEMENT →

Introduction

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Frequently Asked Questions

What services does Tracey Elizabeth Brooten offer?

Tracey Elizabeth Brooten specializes in Financial Planning, Investment Management.

What are Tracey Elizabeth Brooten's credentials?

Tracey Elizabeth Brooten is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tracey Elizabeth Brooten located?

Tracey Elizabeth Brooten is based in SAN DIEGO, California, last registered with GUNDERSON CAPITAL MANAGEMENT.

How does Tracey Elizabeth Brooten charge for services?

Tracey Elizabeth Brooten's firm is compensated through percentage of aum, fixed fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GUNDERSON CAPITAL MANAGEMENT?

GUNDERSON CAPITAL MANAGEMENT has approximately 5 employees and manages $228M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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