Tracy Kuo Shen

Employer firm

Florin Group, LLC CRD 168196

$79.0M regulatory AUM 30 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Florin Group, Llc

1765 Greensboro Station Place Tower 1, Suite 900, Mclean, VA 22102 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2025-09-10
MD	RA	APPROVED	2025-05-21
TX	RA	APPROVED_RES	2016-03-31
VA	RA	APPROVED	2013-08-30

DC RA
APPROVED

Since 2025-09-10
MD RA
APPROVED

Since 2025-05-21
TX RA
APPROVED_RES

Since 2016-03-31
VA RA
APPROVED

Since 2013-08-30

Branch Locations

1765 Greensboro Station Place Tower 1, Suite 900, Mclean, VA 22102 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Florin Group, Llc	Mclean	VA	08/2013	Present
Purshe Kaplan Sterling Investments	Albany	NY	10/2013	Present

08/2013 → Present

Florin Group, Llc

Mclean, VA
10/2013 → Present

Purshe Kaplan Sterling Investments

Albany, NY

Previous Registrations

2012-08-01 → 2013-08-09

Cambridge Investment Research Advisors, Inc.

Mclean, VA
2008-08-06 → 2012-08-07

Park Avenue Securities Llc

Chevy Chase, MD
2003-03-07 → 2008-07-16

Pruco Securities, Llc.

Vienna, VA

Vienna, VA
1999-05-17 → 2003-02-04

Ameriprise Financial Services, Llc

Vienna, VA

Other Businesses

1)TRACY SHEN 6815 STOCKWELL MANOR DR. FALLS CHURCH, VA 22043. BEGAN 8/1/12 SELLING LIFE INSURANCE. NOT INVESTMENT RELATED. DEVOTES 10 HRS/WK. 2 HRS DURING TRADING. 2)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 3) FLORIN GROUP, LLC. RIA. INVESTMENT RELATED. 1750 TYSONS BLVD, 15TH FLOOR, MCLEAN, VA 22102. MANAGING PARTNER. 08/2013. 160 HRS/MO. FINANCIAL ADVISOR 4)PKS FINANCIAL SERVICES; INVESTMENT RELATED 18 CORPORATE WOODS BLVD ALBANY, NY 12211; FIXED INSURANCE; INSURANCE AGENT; SALES & SERVICE OF FIXED LIFE INSURANCE & ANNUITY CONTRACTS START DATE:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-04-15

S66 Uniform Combined State Law Examination

1999-04-15

Designations

Chartered Financial Consultant

Other Names

Tracy T Kuo
Tracy Tzayrong Kuo

View on SEC IAPD