Tracie L. Southerland

OPES WEALTH MANAGEMENT

Menlo Park, CA 94025

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CRD#: 1376311

Professional summary

Tracie Lynne Southerland is a registered financial advisor currently at OPES WEALTH MANAGEMENT, LLC located in Menlo Park, California.

Tracie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Tracie has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name of other business: Amerihome Mortgage Investment Related: No Address: 17885 Von Karman Avenue, Suite 100, Irvine, CA 92614 Nature of other business: Mortgage Finance Position/Title: Mortgage Advisor Start Date: 4/10/2023 Approx hours per month: 100 During Trading Hours: 100 Duties: Originating mortgages

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracie Lynne Southerland's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 21, 2018 - Present

OPES WEALTH MANAGEMENT, LLC

Office #1: 535 Middlefield Road Suite 160, Menlo Park, CA 94025

RIA

CRD#: 299704

Menlo Park, CA

Past

November 24, 2005 - June 8, 2017

OPES ADVISORS, INC.

RIA

CRD#: 132996

PALO ALTO, CA

Past

May 9, 1986 - March 6, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

September 23, 1985 - May 1, 1986

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

CRD#: 3461

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPES WEALTH MANAGEMENT, LLC

OPES WEALTH MANAGEMENT, LLC | SAVAGE AND COMPANY WEALTH MANAGEMENT | OWM, LLC

CRD#: 299704 / SEC#: 801-114436

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/21/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/14/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OPES WEALTH MANAGEMENT, LLC

OPES WEALTH MANAGEMENT, LLC | SAVAGE AND COMPANY WEALTH MANAGEMENT | OWM, LLC

CRD#: 299704 / SEC#: 801-114436

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

535 Middlefield Road Suite 160, Menlo Park, CA 94025

Mailing Address

Phone number

(408) 831-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OPES WEALTH ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	387
AUM (Assets Under Management)	$ 664,729,272

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/30/2024	Cover Page	Report
03/21/2024	Cover Page	Report
03/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Tracie L. Southerland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracie Lynne Southerland's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPES ADVISORS, INC.

NEW ENGLAND SECURITIES

SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION

Primary Firm SEC Registration

OPES WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/23/2005

Series 63

Date: 10/25/1985

Series 6

Date: 9/14/1985

Current Firm

OPES WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

OPES WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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