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Tracy Marlin

LPL Financial LLC
26 Years of Experience
Newport Beach, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Tracy Marlin is a registered investment advisor at LPL Financial LLC, based in Newport Beach, CA, with 26 years of industry experience. Tracy is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4685 Macarthur Ct Ste 150, Newport Beach, CA, 92660

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2002
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other 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
September 2020 - Present · 6 yrs 1 mo
LPL Financial LLC
September 2020 - Present · 6 yrs 1 mo
LPL Financial LLCBroker
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
Lucia Securities, LLCBroker
January 2013 - October 2020 · 7 yrs 9 mos
Lucia Capital Group
January 2013 - October 2020 · 7 yrs 9 mos
G.W. Sherwold Associates, INCBroker
April 2010 - February 2011 · 10 mos
Sherwold G W Associates INC
April 2010 - February 2011 · 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - December 2009 · 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - December 2009 · 2 mos
Banc of America Investment Services, INC.
February 2007 - October 2009 · 2 yrs 8 mos
Banc of America Investment Services, INC.Broker
January 2007 - October 2009 · 2 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1993 - January 2002 · 8 yrs 4 mos
Great Western Financial Securities CorporationBroker
October 1992 - February 1993 · 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1992 - October 1992 · 3 mos
State Registrations1 state
CA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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