Tracy A. Shemano

QUANTUM FINANCIAL ADVISORS

SANTA MONICA, CA 90401

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CRD#: 2309084

Professional summary

Tracy Ann Shemano, who also goes by Tracy Ann Goldstein, is a registered financial advisor currently at QUANTUM FINANCIAL ADVISORS, LLC located in Santa Monica, California.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Tracy has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Ann Goldstein

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Ann Shemano'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

January 3, 2024 - Present

QUANTUM FINANCIAL ADVISORS, LLC

Office #1: 530 Wilshire Blvd Ste 206, Santa Monica, CA 90401

RIA

CRD#: 317386

SANTA MONICA, CA

Past

September 10, 2018 - January 31, 2022

ABACUS WEALTH PARTNERS

RIA

CRD#: 128590

SANTA MONICA, CA

Past

August 22, 1995 - January 2, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 3, 1993 - February 10, 1994

CHARTER ATLANTIC SECURITIES COMPANY, INC.

CRD#: 19737

NEW YORK, NY

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".

QUANTUM FINANCIAL ADVISORS, LLC

CRD#: 317386 / SEC#: 801-122978

RIA

Registered Investment Advisory firm - (1/3/2022 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
(1/3/2024)

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: 9/10/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/21/1995

General Securities Representative Examination

Current Firm

QUANTUM FINANCIAL ADVISORS, LLC

CRD#: 317386 / SEC#: 801-122978

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

530 Wilshire Blvd Ste 206, Santa Monica, CA 90401

Mailing Address

Phone number

(424) 447-8268

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	1,601
AUM (Assets Under Management)	$ 1,229,915,377

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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Tracy A. Shemano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Ann Shemano's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUANTUM FINANCIAL ADVISORS, LLC

ABACUS WEALTH PARTNERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARTER ATLANTIC SECURITIES COMPANY, INC.

Primary Firm SEC Registration

QUANTUM FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/10/2018

Series 63

Date: 10/12/1995

Series 7

Date: 8/21/1995

Current Firm

QUANTUM FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUANTUM FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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