Tracy Newquist has been Member, Chief Compliance Officer of DWR Wealth Management since May 2021, is a control person of the firm and directly owns between 10% and 25% of it. Tracy Newquist holds a Bachelor's degree in Business Administration from California State University.
DWR Wealth Management, LLC is a San Jose, CA firm with $221M under management, 189 clients and 3 advisers in one office, as of its July 2026 filing.
Tracy L. Newquist is Wealth Advisor, Managing Partner and Principal of DWR Wealth Management, based in San Jose. She joined DWR in 2021 with over two decades of experience advising individuals, families and business owners. Previously, she was a principal owner and President of RNP Advisory Services.
Tracy Newquist’s longest registration was 11 years at RNP Advisory Services, Inc. (2006–2017). Before joining DWR Wealth Management in 2021, Tracy Newquist was registered through Buckingham Strategic Wealth, LLC and RNP Advisory Services, Inc.
- DWR Wealth Management, LLCCurrent– present · 5 yearsSan Jose, CA · Adviser representative · Firm CRD 133743
- Buckingham Strategic Wealth, LLC– · under a yearMorgan Hill, CA · Adviser representative · Firm CRD 143323
- RNP Advisory Services, Inc.– · 2 yearsMorgan Hill, CA · Adviser representative · Firm CRD 113354
- RNP Advisory Services, Inc.– · 11 yearsMorgan Hill, CA · Adviser representative · Firm CRD 113354
- Linsco/Private Ledger Corp.– · under a yearMorgan Hill, CA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Tracy Newquist is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2021; the most recent is Texas, in March 2024.
- CaliforniaSince 8 July 2021
- TexasResidentSince 28 March 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 April 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 June 2001 |
| Series 7 | General Securities Representative Examination | 19 March 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tracy Lee Newquist
- CRD
- 4338710
- Firm
- DWR Wealth Management · CRD 133743
- Role
- Member, Chief Compliance Officer
- Office
- San Jose, CA
- Registration
- Investment adviser registration
- In the industry since
- January 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- dwrwealth.com
Where does Tracy Newquist work?
Tracy Newquist has been Member, Chief Compliance Officer of DWR Wealth Management, LLC since May 2021, and is a control person of the firm.
Is Tracy Newquist a financial advisor?
Yes. Tracy Newquist has a current investment-adviser registration in California and Texas, through DWR Wealth Management since July 2021.
How many years of experience does Tracy Newquist have?
Tracy Newquist has 24 years in the financial industry, since January 2002, across 4 adviser firms.
What exams has Tracy Newquist passed?
Tracy Newquist has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in March 2001. FINRA credited Tracy Newquist with the SIE, which began in October 2018.
Where did Tracy Newquist work before DWR Wealth Management?
Before DWR Wealth Management, Tracy Newquist was registered through Buckingham Strategic Wealth, LLC, July 2020 to September 2020; RNP Advisory Services, Inc., March 2018 to July 2020; RNP Advisory Services, Inc., June 2006 to December 2017; Linsco/Private Ledger Corp., April 2005 to February 2006.
Where is Tracy Newquist based?
Tracy Newquist’s registered office is in San Jose, CA.
Is Tracy Newquist registered with FINRA?
No. Tracy Newquist has no current broker registration.
How can I verify Tracy Newquist’s record?
Search CRD 4338710 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tracy Newquist’s full registration record.
