Tracy L. Baron Garcia

TBG INVESTING

LAKE OSWEGO, OR

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CRD#: 4910033

Professional summary

Tracy Lynn Baron Garcia, who also goes by Tracy Lynn Baron, is a registered financial advisor currently at TBG INVESTING located in Lake Oswego, Oregon.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Tracy has worked at 2 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Lynn Baron

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.

- Name of other business: TBG Prosperity - Investment-related: No - Address: 525 3rd St. Suite 200, Lake Oswego, OR 97034 - Nature of the other business: Financial education and consulting - Position/title/duties: Founder - Start date: 07/2022 - Approximate number of hours/month devoted to the other business: 8 - Number of hours devoted during securities trading hours: 2

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Lynn Baron Garcia's 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

October 29, 2024 - Present

TBG INVESTING

RIA

CRD#: 333130

LAKE OSWEGO, OR

Past

February 23, 2005 - March 28, 2013

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

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

Illinois
(7/22/2025)

IAR

Oregon
(10/29/2024)

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: 12/6/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 8/2/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/22/2005

General Securities Representative Examination

Current Firm

TBG INVESTING

TBG INVESTING | TBG INVESTING,LLC

CRD#: 333130 / SEC#:

Illinois

Registered Investment Advisory firm - (7/22/2025 Approved)

Oregon

Registered Investment Advisory firm - (10/29/2024 Approved)

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Contact information

Main Address

Lake Oswego, OR

Mailing Address

Phone number

(773) 245-0418

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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 L. Baron Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Lynn Baron Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

TBG INVESTING

NORTHERN TRUST SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/2019

Series 63

Date: 4/1/2005

Series 3

Date: 8/2/2012

Series 7

Date: 2/22/2005

Current Firm

TBG INVESTING

Contact information

Documents

Red Flags

Company Information

TBG INVESTING

TRUST BUT VERIFY

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