Traci Kaas has been an investment adviser representative at Lake Avenue Financial since January 2024, and is not listed among the firm’s executive officers or direct owners.
Lake Avenue Financial LLC is a Pasadena, CA firm with $155M under management, 294 clients and 3 advisers across 4 offices, as of its March 2026 filing.
Traci Kaas is a Certified Financial Transitionist® and Certified Structured Settlement Consultant at Lake Avenue Financial. She has financially transitioned individuals involved in personal injury, wrongful death, workers' compensation, class action and employment cases.
Traci Kaas’ longest registration is the current one, 9 years at Cooper McManus since 2017. Before joining Lake Avenue Financial in 2024, Traci Kaas was registered through Probitas Financial and Greystone Advisory Group LLC.
- Shelter Wealth Strategies, LLCAlso current– present · 1 yearNewport Beach, CA · Adviser representative · Firm CRD 170655
- Devon Investment Advisory– · under a yearNewport Beach, CA · Adviser representative · Firm CRD 300425
- Lake Avenue Financial LLCCurrent– present · 2 yearsNewport Beach, CA · Adviser representative · Firm CRD 315746
- Probitas Financial– · 8 yearsLadera Ranch, CA · Adviser representative · Firm CRD 143819
- Cooper McManusAlso current– present · 9 yearsNewport Beach, CA · Adviser representative · Firm CRD 111458
- Greystone Advisory Group LLC– · 8 yearsNewport Beach, CA · Adviser representative · Firm CRD 170655
- Greystone Advisory Group LLC– · under a yearIrvine, CA · Adviser representative · Firm CRD 170655
- Probitas Financial– · 3 yearsNewport Beach, CA · Adviser representative · Firm CRD 143819
- Transamerica Financial Advisors, Inc.– · 2 yearsIrvine, CA · Adviser representative · Firm CRD 16164
Professional designations
Listed by Lake Avenue Financial
- Certified Financial Transitionist (CeFT®)
- Certified Structured Settlement Consultant (CSSC)
Investment adviser representative registrations
Traci Kaas is registered as an investment adviser representative in 2 states. The first approvals date from February 2017; the most recent is Texas, in October 2025.
- CaliforniaSince 7 February 2017
- TexasSince 15 October 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 9 January 2012 |
| Series 65 | Uniform Investment Adviser Law Examination | 2 May 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 April 2009 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 13 March 2009 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Traci Lynn Kaas
- CRD
- 5640507
- Firm
- Lake Avenue Financial · CRD 315746
- Office
- 20341 SW Birch Street, #310, Newport Beach, CA 92660
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2009
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- lakeave.com
Where does Traci Kaas work?
Traci Kaas is an investment adviser representative registered through Lake Avenue Financial LLC since January 2024, and is not listed among the firm’s executive officers or direct owners.
Is Traci Kaas a financial advisor?
Yes. Traci Kaas has a current investment-adviser registration in California and Texas, through Lake Avenue Financial since January 2024.
How many years of experience does Traci Kaas have?
Traci Kaas has 17 years in the financial industry, since March 2009, across 6 adviser firms.
What exams has Traci Kaas passed?
Traci Kaas has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in March 2009. FINRA credited Traci Kaas with the SIE, which began in October 2018.
Where did Traci Kaas work before Lake Avenue Financial?
Before Lake Avenue Financial, Traci Kaas was registered through Greystone Advisory Group LLC, November 2015 to December 2015; Probitas Financial, January 2014 to May 2017; Transamerica Financial Advisors, Inc., May 2011 to January 2014.
Where is Traci Kaas based?
Traci Kaas’ registered office is in Newport Beach, CA.
Is Traci Kaas registered with FINRA?
Yes. Traci Kaas has a current broker registration, under CRD 5640507.
Source: FINRA BrokerCheck
How can I verify Traci Kaas’ record?
Search CRD 5640507 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Traci Kaas’ full registration record.
