Traci Lynn Kaas

Current Employers

Employment History

• 01/2014 → Present
  Probitas Financial
  Newport Beach, CA
• 11/2015 → 02/2025
  Greystone Advisory Group Llc
  Houston, TX
• 02/2017 → Present
  Cooper Mcmanus
  Irvine, CA
• 01/2011 → Present
  Kaas Consulting, Inc.
  Newport Beach, CA
• 11/2017 → 03/2020
  Securitites America, Inc.
  Irvine, CA
• 03/2020 → Present
  Cambridge Investment Research
  Fairfield, IA
• 01/2025 → 09/2025
  Devon Investment Advisory
  Houston, TX
• 01/2024 → Present
  Lake Avenue Financial Llc Fka Wealthtech Partners Llc
  Newport Beach, CA
• 09/2025 → Present
  Shelter Wealth Strategies, Llc
  Houston, TX

Previous Registrations

• 2025-02-01 → 2025-11-02
  Devon Investment Advisory
  Newport Beach, CA
  Houston, TX
• 2016-07-20 → 2025-02-09
  Shelter Wealth Strategies, Llc
  Irvine, CA
  Houston, TX
  Newport Beach, CA
• 2014-01-10 → 2017-05-12
  Probitas Financial
  Newport Beach, CA
• 2015-11-30 → 2015-12-04
  Shelter Wealth Strategies, Llc
  Irvine, CA
  Houston, TX
• 2011-05-13 → 2014-01-23
  Transamerica Financial Advisors, Llc
  Irvine, CA
  Huntington Beach, CA
  Huntington Beach, CA

Other Businesses

1) KAAS INSURANCE LICENSE, 20341 SW BIRCH ST #120, NEWPORT BEACH, CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 07/05/06, NIR, 1/MO- 1/TRADING 2) KAAS CONSULTING, INC. 20341 SW BIRCH STREEG #120, NEWPORT BEACH, CA, STRUCTURED SETTLEMENT PLANNER, PRESIDENT, 01/01/11, NIR, 160/MO- 120/TRADING 3)SAGE SETTLEMENT CONSULTING, 3060 PEACHTREE RD, STE 1150, ATLANTA, GA, LIFE COMPANY'S GENERAL AGENCY, BROKER, 01/01/19, NIR, 15/MOR- 5/TRADING 4)CAPITAL FIRST TRUST COMPANY, 234 WEST FLORIDA STREET, STE 400, MILWAUKEE, WI, 09/01/11- REFERRAL FEES, NIR, 5/MO- 0/TRADING 5)MIDLAND STATES BANK, 2990 NN PERRYVILLE, STE 1400, ROCKFORD, IL. TRUST SERVICES PROVIDER, REFERRAL FEES ONLY, 12/01/07, NIR, 1/MO- 0/TRADING 6) COOPER MCMANUS, 98870 RESEARCH DRIVE, IRVINE, CA, JADVISORY AFFILIATION, SOLICITOR, 02/01/17, INV REL, 10/MO- 5/TRADING 7) Bernstein, 1999 Avenue of the Stars, Los Angeles CA 90067, United States, START DATE: 11/15/2021, Referral Source, Referrals, INV REL, 0 HR/MO - 0 HR/MO TRADING 8) Creative Planning LLC,5454 W. 110th Street, Overland Park KS 66211, United States, 01/15/2022, Solicitor, Solicitor, NIR, 0 HR/MO - 0 HR/MO TRADING 9) WEALTHTECH PARTNERS LLC, 301 N. Lake Avenue, Suite 830, Pasadena CA, 12/2023, REFERRALS FOR PERSONAL INJURY, NIR, 1 HR/MO - 1 HR TRADING 10) SHELTER WEALTH STRATEGIES, LLC, 1400 POST OAK BLVD, SUITE 450, Houston TX 77056, 09/2025, REFERRALS, NIR 0 HR/MO - 0 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-05-02
• S63 Uniform Securities Agent State Law Examination
  2009-04-23