Tracy L. Newquist

DWR WEALTH MANAGEMENT

San Jose, CA

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CRD#: 4338710

Professional summary

Tracy Lee Newquist, who also goes by Tracy Lee Hilgert, is a registered financial advisor currently at DWR WEALTH MANAGEMENT, LLC located in San Jose, California.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Tracy has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Lee Hilgert

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 Lee Newquist'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

July 8, 2021 - Present

DWR WEALTH MANAGEMENT, LLC

RIA

CRD#: 133743

San Jose, CA

Past

July 1, 2020 - September 14, 2020

BUCKINGHAM STRATEGIC WEALTH, LLC

RIA

CRD#: 143323

Morgan Hill, CA

Past

March 22, 2018 - July 1, 2020

RNP ADVISORY SERVICES, INC.

RIA

CRD#: 113354

MORGAN HILL, CA

Past

December 8, 2016 - March 31, 2020

SECURITIES AMERICA, INC.

CRD#: 10205

MORGAN HILL, CA

Past

December 18, 2008 - December 8, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

MORGAN HILL, CA

Past

June 22, 2006 - December 31, 2017

RNP ADVISORY SERVICES, INC.

RIA

CRD#: 113354

MORGAN HILL, CA

Past

February 3, 2006 - December 17, 2008

EPLANNING SECURITIES, INC.

CRD#: 46000

MORGAN HILL, CA

Past

April 26, 2005 - February 7, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

MORGAN HILL, CA

Past

March 20, 2001 - February 7, 2006

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

DWR WEALTH MANAGEMENT, LLC

CRD#: 133743 / SEC#: 801-122140

RIA

Registered Investment Advisory firm - (8/24/2021 Approved)

California

Registered Investment Advisory firm - (10/16/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2021 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

California
(7/8/2021)

IAR

Texas
(3/28/2024)

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: 4/25/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/2001

General Securities Representative Examination

Current Firm

DWR WEALTH MANAGEMENT, LLC

CRD#: 133743 / SEC#: 801-122140

RIA

Registered Investment Advisory firm - (8/24/2021 Approved)

California

Registered Investment Advisory firm - (10/16/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/16/2021 Terminated)

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Contact information

Main Address

1884 The Alameda, San Jose, CA 95126

Mailing Address

Phone number

(408) 260-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03-20 DWR WEALTH MANAGEMENT FORM ADV PART 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	545
AUM (Assets Under Management)	$ 179,620,318

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 L. Newquist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BUCKINGHAM STRATEGIC WEALTH, LLC

RNP ADVISORY SERVICES, INC.

SECURITIES AMERICA, INC.

FOOTHILL SECURITIES, INC.

RNP ADVISORY SERVICES, INC.

EPLANNING SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

DWR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/25/2005

Series 63

Date: 6/8/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2001

Current Firm

DWR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DWR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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