Tracy John Martin

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1983 → 11/2024
  Pruco Securities, Llc.
  Cranbury, NJ
• 05/1983 → Present
  Prudential Insurance Company Of America
  Cranbury, NJ
• 11/2024 → Present
  Lpl Enterprise, Llc
  Cranbury, NJ

Previous Registrations

• 2002-06-18 → 2024-11-14
  Pruco Securities, Llc.
  Princeton, NJ
  Cranbury, NJ
  Princeton, NJ

Other Businesses

1) 12/12/2024 - CanDo Insurance - Property and Casualty - owner of business, uses accountant, bookkeeper for all financial matters. - INV Related - At Cranbury, NJ - Start Date 02/13/2023 - 10hrs/mth - 10hrs During Trading 2) 12/12/2024 - Day 2 Associates, LLC - Property and Casualty - President/Owner - INV Related - At Newtown, PA - Start Date 12/09/2022 - 10hrs/mth - 10hrs During Trading 3) 12/23/2024 - Martin Real Estate Holdings, LLC - Real Estate Rental - Managing Partner - INV Related - At Newtown, PA - Start Date 08/05/2015 - 2hrs/mth - 0hrs During Trading 4) 12/20/2024 - CanDo Financial - DBA for LPL Business (entity for LPL business) - INV Related - At Reported business location(s) - Start Date 02/13/2023 - 40hrs/mth - 40hrs During Trading 5) 12/20/2024 - TRAKIT INC. - Business Entity For Tax/Investment Purposes Only - Passive position. No active role. - Not INV Related - At Cranbury, NJ - Start Date 01/01/2023 - 2hrs/mth - 0hrs During Trading 6) 12/23/2024 - NEBS HOLDCO, LLC - Business Entity For Tax/Investment Purposes Only - Passive position. - Not INV Related - At Cranbury, NJ - Start Date 03/06/2023 - 2hrs/mth - 0hrs During Trading 7) 12/23/2024 - Newtown Risk Management, LLC - Business Entity For Tax/Investment Purposes Only - President - this is an LLC that will encompass the already approved OBA CanDo Insurance - Not INV Related - At Newtown, PA - Start Date 10/31/2022 - 0hrs/mth - 0hrs During Trading 8) 12/23/2024 - Trakit Holdings 2025, LLC - Business Entity For Tax/Investment Purposes Only - Entity is set up for estate planning. - Not INV Related - At Delray Beach, FL - Start Date 12/06/2024 - 0hrs/mth - 0hrs During Trading 9) 12/23/2024 - TRAKIT HOLDINGS, LLC - Business Entity For Tax/Investment Purposes Only - Entity is set up for estate planning. - Not INV Related - At Delray Beach, FL - Start Date 06/14/2023 - 0hrs/mth - 0hrs During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-01-16
• S63 Uniform Securities Agent State Law Examination
  2000-03-07