Tracy Riordan

ARQ WEALTH ADVISORS

SCOTTSDALE, AZ 85260

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CRD#: 4274722

Professional summary

Tracy Riordan, who also goes by Tracy Barbara Deneau, Tracy Barbara Riordan, is a registered financial advisor currently at ARQ WEALTH ADVISORS, LLC located in Scottsdale, Arizona.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Tracy has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Barbara Deneau | Tracy Barbara Riordan

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 Riordan'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

November 3, 2025 - Present

ARQ WEALTH ADVISORS, LLC

Office #1: 8605 E. Raintree Dr Ste. 240, Scottsdale, AZ 85260

RIA

CRD#: 147351

SCOTTSDALE, AZ

Past

February 17, 2023 - September 23, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Phoenix, AZ

Past

May 12, 2010 - September 23, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Phoenix, AZ

Past

November 6, 2009 - May 7, 2010

WELLS FARGO SECURITIES, LLC

CRD#: 126292

PHOENIX, AZ

Past

December 17, 2004 - November 6, 2009

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

PHOENIX, AZ

Past

May 2, 2001 - December 17, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

September 29, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

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".

ARQ WEALTH ADVISORS, LLC

ARQ WEALTH ADVISORS, LLC | SIEGEL/YOCUM ASSET MANAGEMENT, LLC | SIEGEL/ YOCUM ASSET MANAGEMENT, LLC | RUGGIERI FINANCIAL GROUP

CRD#: 147351 / SEC#: 801-107346

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2016 Terminated)

California

Registered Investment Advisory firm - (4/8/2016 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(11/3/2025)

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: 2/17/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/27/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/12/2012

General Securities Principal Examination

Current Firm

ARQ WEALTH ADVISORS, LLC

ARQ WEALTH ADVISORS, LLC | SIEGEL/YOCUM ASSET MANAGEMENT, LLC | SIEGEL/ YOCUM ASSET MANAGEMENT, LLC | RUGGIERI FINANCIAL GROUP

CRD#: 147351 / SEC#: 801-107346

RIA

Registered Investment Advisory firm - (3/7/2016 Approved)

Arizona

Registered Investment Advisory firm - (3/9/2016 Terminated)

California

Registered Investment Advisory firm - (4/8/2016 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2016 Terminated)

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Contact information

Main Address

8605 E. Raintree Dr Ste. 240, Scottsdale, AZ 85260

Mailing Address

Phone number

(480) 214-9572

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	1,663
AUM (Assets Under Management)	$ 701,933,068

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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Firm Stability Insights

Tracy Riordan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

ARQ WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/2023

Series 66

Date: 11/27/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2000

Series 10

Date: 1/2/2023

Series 24

Date: 4/12/2012

Current Firm

ARQ WEALTH ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARQ WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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