Unclaimed Profile

Tracy Lee Newquist

DWR WEALTH MANAGEMENT, LLC·SAN JOSE, California

SIE, Series 7, Series 63, Series 65Clean record21 years registeredDWR WEALTH MANAGEMENT, LLC

1884 THE ALAMEDA, SAN JOSE, CA 95126CRD# 4338710Firm CRD# 133743

Profile Verification

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

Identity

Tracy Lee Newquist · SAN JOSE, CA

Registration

CRD #4338710 · DWR WEALTH MANAGEMENT, LLC · 21 years registered

Brand Profile

Not yet started

Career History

DWR WEALTH MANAGEMENT, LLC

Jul 2021 – present

BUCKINGHAM STRATEGIC WEALTH, LLC

Jul 2020 – Sep 2020

Morgan Hill, CA

RNP ADVISORY SERVICES, INC.

Mar 2018 – Jul 2020

MORGAN HILL, CA

RNP ADVISORY SERVICES, INC.

Jun 2006 – Dec 2017

MORGAN HILL, CA

LINSCO/PRIVATE LEDGER CORP.

Apr 2005 – Feb 2006

MORGAN HILL, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Registration record

First registered · April 26, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DWR WEALTH MANAGEMENT, LLC

CRD 133743 · SEC 801-122140

AUM

$166M

Regulatory assets under management

Employees

536 client accounts

Services offered by DWR WEALTH MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at DWR WEALTH MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Tracy Lee Newquist offer?

Tracy Lee Newquist specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SAN JOSE, California for a consultation.

What are Tracy Lee Newquist's credentials?

Tracy Lee Newquist is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Tracy Lee Newquist located?

Tracy Lee Newquist is based in SAN JOSE, California, working with DWR WEALTH MANAGEMENT, LLC. Their office serves clients in the SAN JOSE metropolitan area and surrounding communities.

How does Tracy Lee Newquist charge for services?

Tracy Lee Newquist's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DWR WEALTH MANAGEMENT, LLC?

DWR WEALTH MANAGEMENT, LLC has approximately 4 employees and manages $166M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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