Tracy Marlin
Tracy Marlin is a registered investment advisor at LPL Financial LLC, based in Newport Beach, CA, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
4685 Macarthur Ct Ste 150, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2002Other Business Activities
Tracy uses Lucia Capital Group as a DBA for their LPL business since 2020. This investment-related activity takes about 10% of Tracy's time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lucia Securities, LLCBroker
Lucia Capital Group
G.W. Sherwold Associates, INCBroker
Sherwold G W Associates INC
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Great Western Financial Securities CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.