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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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Ronald Tracy's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 3, 2023 - Present

ENDURING WEALTH ADVISORS

Office #1: 27555 Ynez Road Suite 212, Temecula, CA 92591
RIA
CRD#: 323320
Temecula, CA
Current

March 5, 2013 - Present

LPL FINANCIAL LLC

Office #1: 27555 Ynez Rd Ste 212 Tower Office Plaza, Temecula, CA 92591-4678
RIA
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
RR
IAR
Series 66
Date: 3/25/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/27/2025)
FORM ADV PART 2A - FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts412
AUM (Assets Under Management)$ 111,821,583

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ENDURING WEALTH ADVISORS

CRD#: 323320Temecula, CA 92591

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