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Inactive

Tracy Ann Miu

Commonwealth Financial Network

Long Beach, CA

Wealthspring

Irvine, CA

Chino, CA

San Luis Obispo, CA

Santa Rosa, CA

Long Beach, CA

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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-02-23
  • CA RA
    APPROVED
    Since 2026-02-23

Branch Locations

5000 Airport Plaza Drive Suite 245, Long Beach, CA 90815 • United States

Wealthspring

5000 Airport Plaza Drive, Suite 245, Long Beach, CA 90815 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
TX RA APPROVED_RES 2022-09-30
  • CA RA
    APPROVED
    Since 2025-01-01
  • TX RA
    APPROVED_RES
    Since 2022-09-30

Branch Locations

One Park Plaza Suite 600, Irvine, CA 92614 • United States

15338 Central Ave, Chino, CA 91710 • United States

1360 Marsh Street, San Luis Obispo, CA 93401 • United States

1550 Airport Boulevard Suite 205, Santa Rosa, CA 95403 • United States

5000 Airport Plaza Drive, Suite 245, Long Beach, CA 90815 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Commonwealth Financial Network San Diego CA 02/2016 09/2022
Wealthspring Long Beach CA 02/2016 Present
Commonwealth Financial Network Waltham MA 02/2026 Present
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-16
  • S66 Uniform Combined State Law Examination
    2016-03-16
Other Names
  • Tracy Ann Miu
  • Tracy Ann Wu

View on SEC IAPD

Other Firms

EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
STIFEL, NICOLAUS & COMPANY, INCORPORATED
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
KENSINGTON INVESTMENT COUNSEL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
THE CHARTIST

Other Investors

Gregory Stephen Prough
DEREK THOMAS KOKUBUN
ART ANTHONY IGNACIO
CHRISTOPHER VANHORN
PAUL JOSEPH AYD
NORA SEMERJIAN
JEANNE ANNE SUTTIE
VALI JEAN DEVRIES

Other Offices

EDWARD JONES · LONG BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Long Beach, CA
STIFEL, NICOLAUS & COMPANY, INCORPORATED · LONG BEACH, CA
LPL FINANCIAL LLC · LONG BEACH, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Long Beach,, CA
KENSINGTON INVESTMENT COUNSEL · LONG BEACH, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · LONG BEACH, CA
LPL FINANCIAL LLC · LONG BEACH, CA

More in Long Beach, CA

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