Tracy A. Miu

WEALTHSPRING

Long Beach, CA 90815

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CRD#: 6050237

Professional summary

Tracy Ann Miu, who also goes by Tracy Ann Miu, Tracy Ann Wu, is a registered financial advisor currently at WEALTHSPRING located in Long Beach, California.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Tracy has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tracy Ann Miu | Tracy Ann Wu

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.WS Tax, LLC, tax preparer, as of 7/1/2025, up to 5% of time spent during business hours. Investment related, conducted at branch.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracy Ann Miu'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

September 29, 2022 - Present

WEALTHSPRING

Office #1: 5000 Airport Plaza Drive, Suite 245, Long Beach, CA 90815Office #2: 1360 Marsh Street, San Luis Obispo, CA 93401Office #3: 15338 Central Ave, Chino, CA 91710Office #4: 1550 Airport Boulevard Suite 205, Santa Rosa, CA 95403Office #5: One Park Plaza Suite 600, Irvine, CA 92614

RIA

CRD#: 322756

Long Beach, CA

Past

March 23, 2016 - October 3, 2022

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Long Beach, CA

Past

February 1, 2016 - October 3, 2022

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Long Beach, CA

Past

December 11, 2015 - February 9, 2016

LPL FINANCIAL LLC

CRD#: 6413

LONG 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".

WEALTHSPRING

WEALTHSPRING | WEALTHSPRING PARTNERS, LLC

CRD#: 322756 / SEC#: 801-126563

RIA

Registered Investment Advisory firm - (9/15/2022 Approved)

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
(9/29/2022)

IAR

Texas
(9/30/2022)

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: 3/16/2016

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: 12/11/2015

General Securities Representative Examination

Current Firm

WEALTHSPRING

WEALTHSPRING | WEALTHSPRING PARTNERS, LLC

CRD#: 322756 / SEC#: 801-126563

RIA

Registered Investment Advisory firm - (9/15/2022 Approved)

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Contact information

Main Address

5000 Airport Plaza Drive, Suite 245, Long Beach, CA 90815

Mailing Address

Phone number

(562) 491-4410

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A AUGUST 2025 (8/28/2025)

Regulatory assets under management

Total Number of Accounts	929
AUM (Assets Under Management)	$ 332,665,171

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 A. Miu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

WEALTHSPRING

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

Primary Firm SEC Registration

WEALTHSPRING

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2016

SIE

Date: 10/1/2018

Series 7

Date: 12/11/2015

Current Firm

WEALTHSPRING

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPRING

TRUST BUT VERIFY

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