Tracy Lynn Baron Garcia

Current Employers

Tbg Investing

Lake Oswego, OR • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2025-07-22
OR	RA	APPROVED	2024-10-29

IL RA
APPROVED

Since 2025-07-22
OR RA
APPROVED

Since 2024-10-29

Branch Locations

Lake Oswego, OR • 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

Organization	City	State	From	To
Tbg Investing Llc	Lake Oswego	OR	07/2024	Present
Tbg Prosperity	Lake Oswego	OR	07/2022	Present
Azur Associates	Napa	CA	05/2021	06/2022
Far Niente Winery	Napa	CA	08/2020	04/2021
Ste. Michelle Wine Estates	Napa	CA	06/2016	11/2019
N/A	Napa	CA	11/2019	08/2020

07/2024 → Present

Tbg Investing Llc

Lake Oswego, OR
07/2022 → Present

Tbg Prosperity

Lake Oswego, OR
05/2021 → 06/2022

Azur Associates

Napa, CA
08/2020 → 04/2021

Far Niente Winery

Napa, CA
06/2016 → 11/2019

Ste. Michelle Wine Estates

Napa, CA
11/2019 → 08/2020

N/A

Napa, CA

Other Businesses

- Name of other business: TBG Prosperity - Investment-related: No - Address: 525 3rd St. Suite 200, Lake Oswego, OR 97034 - Nature of the other business: Financial education and consulting - Position/title/duties: Founder - Start date: 07/2022 - Approximate number of hours/month devoted to the other business: 8 - Number of hours devoted during securities trading hours: 2

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-12-06
S63	Uniform Securities Agent State Law Examination	2005-04-01

S65 Uniform Investment Adviser Law Examination

2019-12-06
S63 Uniform Securities Agent State Law Examination

2005-04-01

Designations

Other Names

Tracy Lynn Baron

View on SEC IAPD