MT
Mark R. Tracy
ENDURING WEALTH ADVISORS
Temecula, CA 92591
Some features on this profile are disabled
CRD#: 6021317
MT
Professional summary
Mark Ronald Tracy is a registered financial advisor currently at ENDURING WEALTH ADVISORS located in Temecula, California and LPL FINANCIAL LLC located in Temecula, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 07/24/2012 - Enduring Wealth Advisors - DBA for LPL Business (entity for LPL business) - Time Spent 100% 2. 9/18/2017 - No Business Name - Not Investment Related - Home Based - Other-Foster Parent - Started 05/05/2014 - 20 Hours Per Month/0 Hours During Securities Trading. 3. 04/26/2023 - Enduring Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 03/31/2023 - 150 Hours Per Month/50 Hours During Securities Trading - I provide investment advisory services through Enduring Wealth Advisors, an independent investment advisor firm. I started this business activity in 3/2023. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. Placentia Pony Baseball; Not Investment-Related; P.O. BOX 865, PLACENTIA, CA 92870; FIELDS ARE LOCATED AT 2098 TUFFREE BLVD; PLACENTIA, CA 92870; Recreation Youth Baseball; I am the team manager for the Shetland Phillies in the spring of 2024 season. This is a volunteer position; January 2024; Approx. 35 hours a month spent at this OBA; 0 hours spent during securities trading hours; I am responsible for communicating with the team, preparing for practices and games, running the practices and games, player development, and finding volunteers to be the team parent and assistant coach. I also communicate with the team parent and the league and ensure the team meets the league requirements.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ronald Tracy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 3, 2023 - Present
ENDURING WEALTH ADVISORS
Office #1: 27555 Ynez Road Suite 212, Temecula, CA 92591RIA
CRD#: 323320
Temecula, CA
Current
March 5, 2013 - Present
LPL FINANCIAL LLC
Office #1: 27555 Ynez Rd Ste 212 Tower Office Plaza, Temecula, CA 92591-4678RIA
BD
CRD#: 6413
Temecula, CA
Past
March 26, 2013 - December 22, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
MANHATTAN BEACH, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EW
ENDURING WEALTH ADVISORS
ENDURING WEALTH ADVISORS | ENDURING WEALTH ADVISORS, LLC
CRD#: 323320 / SEC#: 801-127552
RIA
Registered Investment Advisory firm - (3/30/2023 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/1/2016)
RR
Arkansas(4/25/2016)
RR
California(3/26/2013)
IAR
California(4/3/2023)
RR
Idaho(6/6/2016)
RR
Kansas(2/24/2021)
RR
Kentucky(9/10/2024)
RR
Louisiana(3/10/2016)
RR
Nevada(2/16/2017)
RR
New Hampshire(1/23/2023)
RR
New Mexico(4/27/2016)
RR
New York(2/5/2025)
RR
Ohio(6/21/2019)
RR
Oklahoma(5/7/2018)
RR
Oregon(2/8/2017)
RR
Pennsylvania(6/6/2016)
RR
South Carolina(7/15/2019)
RR
South Dakota(5/10/2018)
RR
Tennessee(1/2/2024)
RR
Texas(4/27/2016)
RR
Utah(3/10/2016)
RR
Washington(1/17/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EW
ENDURING WEALTH ADVISORS
ENDURING WEALTH ADVISORS | ENDURING WEALTH ADVISORS, LLC
CRD#: 323320 / SEC#: 801-127552
RIA
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Contact information
Main Address
27555 Ynez Road Suite 212, Temecula, CA 92591
Mailing Address
Phone number
(951) 693-9900
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 412 |
| AUM (Assets Under Management) | $ 111,821,583 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
