Tracey K. Brenneise

IRONOAK WEALTH

HUNTINGTON BEACH, CA

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CRD#: 4612688

Professional summary

Tracey Kulpa Brenneise, who also goes by Tracey Kulpa Brenneise, Tracey Brenneise, Tracey Erin Griffin, Tracey Kulpa Griffin, Tracey Erin Kulpa, Tracey Kulpa, Tracey E Vanderhoeven, Tracey K Vanderhoeven, is a registered financial advisor currently at IRONOAK WEALTH located in Huntington Beach, California.

Tracey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Tracey has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

INDEPENDENT INSURANCE AGENT; INVESTMENT RELATED; INSURANCE SALES AND SERVICES; HUNTINGTON BEACH, CA; START 06/2020; 5% OF TIME SPENT IN THIS BUSINESS PRACTICE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Kulpa Brenneise'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

June 18, 2020 - Present

IRONOAK WEALTH

RIA

CRD#: 306403

HUNTINGTON BEACH, CA

Past

January 3, 2018 - March 23, 2022

STONEWATER WEALTH MANAGEMENT, INC.

RIA

CRD#: 164953

CORPUS CHRISTI, TX

Past

November 3, 2017 - January 3, 2018

ERBEN ASSOCIATES, LLC

RIA

CRD#: 148703

AUSTIN, TX

Past

November 3, 2017 - December 18, 2017

M HOLDINGS SECURITIES, INC.

CRD#: 43285

AUSTIN, TX

Past

August 26, 2016 - October 27, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

AUSTIN, TX

Past

August 25, 2016 - October 27, 2017

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

November 3, 2011 - June 6, 2016

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

WOODLAND HILLS, CA

Past

May 8, 2006 - June 22, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

VIERA, FL

Past

April 28, 2006 - June 22, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

VIERA, FL

Past

October 26, 2004 - February 24, 2006

WADDELL & REED

RIA

CRD#: 866

GREAT FALLS, MT

Past

October 25, 2004 - February 24, 2006

WADDELL & REED

CRD#: 866

GREAT FALLS, MT

Past

August 17, 2004 - October 4, 2004

D.A. DAVIDSON & CO.

RIA

CRD#: 199

GREAT FALLS, MT

Past

April 20, 2004 - October 4, 2004

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

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".

IRONOAK WEALTH

IRONOAK WEALTH | IRONOAK WEALTH LLC

CRD#: 306403 / SEC#: 801-132175

RIA

Registered Investment Advisory firm - (3/13/2025 Approved)

Texas

Registered Investment Advisory firm - (3/19/2025 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

Texas
(6/18/2020)

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 66

Date: 8/13/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2004

General Securities Representative Examination

Current Firm

IRONOAK WEALTH

IRONOAK WEALTH | IRONOAK WEALTH LLC

CRD#: 306403 / SEC#: 801-132175

RIA

Registered Investment Advisory firm - (3/13/2025 Approved)

Texas

Registered Investment Advisory firm - (3/19/2025 Terminated)

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Contact information

Main Address

1405 Arrow Point Drive Suite 1004, Cedar Park, TX 78613

Mailing Address

Phone number

(737) 271-9421

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A/2B - SEC (7/22/2025)

Regulatory assets under management

Total Number of Accounts	558
AUM (Assets Under Management)	$ 129,434,111

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

Tracey K. Brenneise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Kulpa Brenneise's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEWATER WEALTH MANAGEMENT, INC.

ERBEN ASSOCIATES, LLC

M HOLDINGS SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

COREBRIDGE CAPITAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WADDELL & REED

WADDELL & REED

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

Primary Firm SEC Registration

IRONOAK WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 8/13/2004

SIE

Date: 12/18/2017

Series 7

Date: 4/19/2004

Current Firm

IRONOAK WEALTH

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IRONOAK WEALTH

TRUST BUT VERIFY

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