Yen Trac

NORTHERN CALIFORNIA FIDUCIARY ADVISORS

Berkeley, CA 94707

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CRD#: 7924799

Professional summary

Yen Trac is a registered financial advisor currently at NORTHERN CALIFORNIA FIDUCIARY ADVISORS, LLC located in Berkeley, California.

Yen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Yen has worked at 1 firm and has passed the Series 65 exam.

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.

MODERN PAYMENTS CONSULTING, LLC located in Novato, CA. Yen Trac owns 1/3 of this business. There are 2 other partners who also own 1/3 each of this business. This company provides consulting services to companies who seek advice about payments--credit cards, gift cards, processing services, etc. This business helps companies understand their payment options and strategies, including using payments to help drive loyalty. This business was created on March 4, 2024. I currently do not provide any services through this entity but will do so if and when the need arises. Yen expects to spend no more than 20% of her time on work related to this business. This organization is not an investment related business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yen Trac'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

July 2, 2024 - Present

NORTHERN CALIFORNIA FIDUCIARY ADVISORS, LLC

Office #1: 1718 Solano Avenue, Berkeley, CA 94707

RIA

CRD#: 330908

Berkeley, CA

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
(7/2/2024)

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: 2/16/2024

Uniform Investment Adviser Law Examination

Current Firm

NORTHERN CALIFORNIA FIDUCIARY ADVISORS, LLC

CRD#: 330908 / SEC#:

California

Registered Investment Advisory firm - (7/2/2024 Approved)

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Contact information

Main Address

1718 Solano Avenue, Berkeley, CA 94707

Mailing Address

Phone number

(707) 387-4547

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 5,455,265

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Yen Trac

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yen Trac's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHERN CALIFORNIA FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2024

Current Firm

NORTHERN CALIFORNIA FIDUCIARY ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTHERN CALIFORNIA FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

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