Tracy Tuens

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CRD#: 1529742

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Tracy Tuens, who also goes by Tracy Marie Tuens, Tracy Tuens-way, Tracy Tuens Way, Tracy Way, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1996. Tracy had worked at 9 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tracy Marie Tuens | Tracy Tuens-Way | Tracy Tuens Way | Tracy Way

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.

1) BizWorld; no; 344 Thomas L. Berkeley Way, Suite 111 Oakland, CA 94612; non-profit organization to educate elementary school children; no; board member; 6/2012 - curr; 1 hr/mth; 0 hrs/trading; advise on direction, mission and growth of organization. 2) 5th Element Group; no; 550 North Liberty Street, Suite 395 Winston-Salem, NC 27101; International strategy/consulting business; Strategic Advisory Board Member; 4/1/2021; 5-10 hrs/mo; participant of the advisory committee to opine on strategic direction of the company and shape how they build their model and speak to families of significant wealth as well as other clients about banking, finance and philanthropy 3) UC Berkeley; no; 110 Sproul Hall #5800, Berkeley, CA 94720; Education & Career Counseling; Political Economy Advisory Board; volunteer; 10/1/2022; 4; 0; Primarily mentoring current UCB students and career counseling and fundraising.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 12, 2023 - August 25, 2025

CYNOSURE GROUP, LLC

RIA

CRD#: 281399

Corte Madera, CA

Past

March 2, 2023 - April 25, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

SAN FRANCISCO, CA

Past

October 31, 2018 - April 25, 2023

SVB WEALTH

RIA

CRD#: 172832

SAN FRANCISCO, CA

Past

July 6, 2016 - March 28, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAN FRANCISCO, CA

Past

February 6, 2013 - October 27, 2015

BNY MELLON SECURITIES CORPORATION

CRD#: 231

SAN FRANCISCO, CA

Past

January 3, 2011 - March 6, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 3, 2011 - March 6, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

January 1, 2006 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

November 29, 2005 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 18, 2002 - May 24, 2005

UST SECURITIES CORP.

CRD#: 13906

STAMFORD, CT

Past

October 23, 1996 - June 4, 1997

ROBERTSON, STEPHENS & COMPANY LLC

CRD#: 7730

SAN FRANCISCO, CA

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".

CYNOSURE GROUP, LLC

CRD#: 281399 / SEC#: 801-107042

RIA

Registered Investment Advisory firm - (12/14/2015 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/31/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/28/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/1996

General Securities Representative Examination

Current Firm

CYNOSURE GROUP, LLC

CRD#: 281399 / SEC#: 801-107042

RIA

Registered Investment Advisory firm - (12/14/2015 Approved)

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Contact information

Main Address

111 South Main Street Suite 2350, Salt Lake City, UT 84111-1929

Mailing Address

Phone number

(801) 521-3100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CYNOSURE WEALTH ADVISORS ADV PART 2A BROCHURE (3/31/2025)

CYNOSURE STRATEGIES FORM ADV PART 2A BROCHURE (3/31/2025)

CYNOSURE PARTNERS ADV PART 2A BROCHURE (3/31/2025)

CYNOSURE CAPITAL MANAGEMENT ADV PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	719
AUM (Assets Under Management)	$ 6,565,356,221

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/22/2025	Cover Page	Report
02/25/2025	Cover Page	Report
01/08/2024	Cover Page	Report
04/24/2023	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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Advisor Monitoring

Firm Stability Insights

Tracy Tuens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SVB INVESTMENT SERVICES INC.

SVB WEALTH

U.S. BANCORP INVESTMENTS, INC.

BNY MELLON SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

UST SECURITIES CORP.

ROBERTSON, STEPHENS & COMPANY LLC

Primary Firm SEC Registration

CYNOSURE GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/2018

Series 66

Date: 12/28/2005

SIE

Date: 3/28/2018

Series 7

Date: 10/22/1996

Current Firm

CYNOSURE GROUP, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CYNOSURE GROUP, LLC

TRUST BUT VERIFY

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