Inactive

Tracy Jao

Steward Partners Investment Advisory, LLC

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Current Employers

Steward Partners Investment Advisory, Llc

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-07-02
CA	RA	APPROVED	2025-06-30

TX RA
APPROVED

Since 2025-07-02
CA RA
APPROVED

Since 2025-06-30

Branch Locations

500 La Gonda Way Suite 210, Danville, CA 94526 • United States

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • 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
Consilium Wealth Management, Llc	San Ramon	CA	12/2014	Present
Simplex Wealth Management	San Ramon	CA	07/2015	Present
Steward Partners Global Advisory, Llc	Danville	CA	06/2025	Present
Steward Partners Investment Advisory, Llc	Danville	CA	06/2025	Present

12/2014 → Present

Consilium Wealth Management, Llc

San Ramon, CA
07/2015 → Present

Simplex Wealth Management

San Ramon, CA
06/2025 → Present

Steward Partners Global Advisory, Llc

Danville, CA
06/2025 → Present

Steward Partners Investment Advisory, Llc

Danville, CA

Previous Registrations

2014-12-12 → 2025-09-04

Consilium Wealth Management

San Ramon, CA

San Ramon, CA
2015-07-14 → 2025-09-04

Simplex Wealth Management

Danville, CA
2013-09-16 → 2014-06-20

Creative Planning

Oakland, CA

Overland Park, KS
2007-05-22 → 2013-09-06

Destination Wealth Management

Walnut Creek, CA
2004-02-19 → 2006-01-25

Charles Schwab & Co., Inc.

San Francisco, CA
1999-09-13 → 2004-02-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-05-03
S63	Uniform Securities Agent State Law Examination	1999-04-27

S65 Uniform Investment Adviser Law Examination

1999-05-03
S63 Uniform Securities Agent State Law Examination

1999-04-27

Designations

Other Names

Tracy C Jao
Tracy Chuni Jao

View on SEC IAPD

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Other Investors

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Shawn Helene-Leonard Hawkins

JOHN R SLONAKER

JOHN ANDREW HANNON

CLARK JAMES GERANEN

MICHAEL DAVID ALLARD

Jeremy R Niederstadt

Other Offices

GALLAGHER WEALTH MANAGEMENT · DANVILLE, CA

SANCTUARY ADVISORS, LLC · Danville, CA

LPL FINANCIAL LLC · DANVILLE, CA

SANCTUARY ADVISORS, LLC · Danville, CA

THE PACIFIC CENTER FOR FINANCIAL SERVICES · DANVILLE, CA

URSA FUND MANAGEMENT LLC · DANVILLE, CA

SANCTUARY ADVISORS, LLC · DANVILLE, CA

GREYKASELL WEALTH STRATEGIES, INC. · DANVILLE, CA

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