Traci Lynn Kaas | Financial Professional | Newport Beach, California

Professional summary

Traci Lynn Kaas is a registered financial advisor currently at COOPER MCMANUS located in Newport Beach, California and PROBITAS FINANCIAL located in Ladera Ranch, California.

Traci is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Traci has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) KAAS INSURANCE LICENSE, 20341 SW BIRCH ST #120, NEWPORT BEACH, CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 07/05/06, NIR, 1/MO- 1/TRADING 2) KAAS CONSULTING, INC. 20341 SW BIRCH STREEG #120, NEWPORT BEACH, CA, STRUCTURED SETTLEMENT PLANNER, PRESIDENT, 01/01/11, NIR, 160/MO- 120/TRADING 3)SAGE SETTLEMENT CONSULTING, 3060 PEACHTREE RD, STE 1150, ATLANTA, GA, LIFE COMPANY'S GENERAL AGENCY, BROKER, 01/01/19, NIR, 15/MOR- 5/TRADING 4)CAPITAL FIRST TRUST COMPANY, 234 WEST FLORIDA STREET, STE 400, MILWAUKEE, WI, 09/01/11- REFERRAL FEES, NIR, 5/MO- 0/TRADING 5)MIDLAND STATES BANK, 2990 NN PERRYVILLE, STE 1400, ROCKFORD, IL. TRUST SERVICES PROVIDER, REFERRAL FEES ONLY, 12/01/07, NIR, 1/MO- 0/TRADING 6) COOPER MCMANUS, 98870 RESEARCH DRIVE, IRVINE, CA, JADVISORY AFFILIATION, SOLICITOR, 02/01/17, INV REL, 10/MO- 5/TRADING 7) Bernstein, 1999 Avenue of the Stars, Los Angeles CA 90067, United States, START DATE: 11/15/2021, Referral Source, Referrals, INV REL, 0 HR/MO - 0 HR/MO TRADING 8) Creative Planning LLC,5454 W. 110th Street, Overland Park KS 66211, United States, 01/15/2022, Solicitor, Solicitor, NIR, 0 HR/MO - 0 HR/MO TRADING 9) WEALTHTECH PARTNERS LLC, 301 N. Lake Avenue, Suite 830, Pasadena CA, 12/2023, REFERRALS FOR PERSONAL INJURY, NIR, 1 HR/MO - 1 HR TRADING 10) SHELTER WEALTH STRATEGIES, LLC, 1400 POST OAK BLVD, SUITE 450, Houston TX 77056, 09/2025, REFERRALS, NIR 0 HR/MO - 0 HR/MO TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Traci Lynn Kaas'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

February 7, 2017 - Present

COOPER MCMANUS

Office #1: 20341 Sw Birch Street Suite 310, Newport Beach, CA 92660

RIA

CRD#: 111458

Newport Beach, CA

Current

September 18, 2018 - Present

PROBITAS FINANCIAL

RIA

CRD#: 143819

Ladera Ranch, CA

Current

January 4, 2024 - Present

LAKE AVENUE FINANCIAL LLC

Office #1: 20341 Sw Birch Street #310, Newport Beach, CA 92660

RIA

CRD#: 315746

Newport Beach, CA

Current

October 15, 2025 - Present

SHELTER WEALTH STRATEGIES, LLC

Office #1: 20341 Sw Birch Street Suite 310, Newport Beach, CA 92660

RIA

CRD#: 170655

NEWPORT BEACH, CA

Current

March 27, 2020 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 9870 Research Dr., Irvine, CA 92618

BD

CRD#: 39543

Irvine, CA

Past

February 1, 2025 - November 2, 2025

DEVON INVESTMENT ADVISORY

RIA

CRD#: 300425

NEWPORT BEACH, CA

Past

November 22, 2017 - March 27, 2020

SECURITIES AMERICA, INC.

BD

CRD#: 10205

IRVINE, CA

Past

July 20, 2016 - February 9, 2025

SHELTER WEALTH STRATEGIES, LLC

RIA

CRD#: 170655

NEWPORT BEACH, CA

Past

November 30, 2015 - December 4, 2015

SHELTER WEALTH STRATEGIES, LLC

RIA

CRD#: 170655

Irvine, CA

Past

January 22, 2014 - December 31, 2015

TCFG WEALTH MANAGEMENT, LLC

BD

CRD#: 164153

LAGUNA NIGUEL, CA

Past

January 10, 2014 - May 12, 2017

PROBITAS FINANCIAL

RIA

CRD#: 143819

NEWPORT BEACH, CA

Past

May 13, 2011 - January 23, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

IRVINE, CA

Past

January 3, 2011 - January 23, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD

CRD#: 16164

IRVINE, CA

Past

March 16, 2009 - December 31, 2010

EVOLVE SECURITIES, INC.

BD

CRD#: 127474

HUNTINGTON BEACH, 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".

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

Arizona
(1/31/2023)

IAR

California
(2/7/2017)

RR

California
(3/27/2020)

RR

Colorado
(1/31/2023)

RR

Florida
(3/27/2020)

RR

Georgia
(1/31/2023)

RR

Illinois
(1/31/2023)

RR

Maryland
(1/31/2023)

RR

Massachusetts
(3/23/2021)

RR

Michigan
(1/31/2023)

RR

Minnesota
(1/31/2023)

RR

Missouri
(1/31/2023)

RR

Nevada
(1/31/2023)

RR

New York
(1/31/2023)

RR

North Carolina
(1/31/2023)

RR

Ohio
(1/31/2023)

RR

Oklahoma
(1/31/2023)

RR

Oregon
(1/31/2023)

RR

Texas
(1/31/2023)

IAR

Texas
(10/15/2025)

RR

Washington
(1/31/2023)

RR

Wisconsin
(3/27/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 4/23/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 1/9/2012

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 3/13/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 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).

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Contact information

Main Address

9870 Research Drive, Irvine, CA 92618

Mailing Address

Phone number

(800) 516-5333

Established

Firm type

Fiscal year end

# of Employees

52

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COOPER MCMANUS ADV PART 2A (5/20/2025)

COOPER MCMANUS ADV PART 2A APPENDIX 1 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 2,560,714,584

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

Traci L. Kaas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Traci Lynn Kaas's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROBITAS FINANCIAL

LAKE AVENUE FINANCIAL LLC

SHELTER WEALTH STRATEGIES, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

DEVON INVESTMENT ADVISORY

SECURITIES AMERICA, INC.

SHELTER WEALTH STRATEGIES, LLC

SHELTER WEALTH STRATEGIES, LLC

TCFG WEALTH MANAGEMENT, LLC

PROBITAS FINANCIAL

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

EVOLVE SECURITIES, INC.

Primary Firm SEC Registration

COOPER MCMANUS

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2011

Series 63

Date: 4/23/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2012

Series 6

Date: 3/13/2009

FINRA

Current Firm

COOPER MCMANUS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOPER MCMANUS

TRUST BUT VERIFY

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