# Lifemark Securities Corp.

> Lifemark Securities Corp. is an SEC-registered investment advisory firm in Rochester, NY, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 9, 2026.

- CRD: 16204
- Filed as: LIFEMARK SECURITIES CORP.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rochester, NY
- Filing period: October 2026
- Form ADV filing dated: March 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/16204
- AdvisorCensus page: https://advisorcensus.com/firm/lifemark-securities-corp-rochester-ny-16204

## Quick answers

**How is Lifemark Securities Corp. compensated?**
On its Form ADV (Item 5.E, October 2026), Lifemark Securities Corp. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Lifemark Securities Corp. located?**
Lifemark Securities Corp.'s principal office is in Rochester, NY, according to its Form ADV; the April 2026 filing also lists 19 other offices (Schedule D, Section 1.F).

**Is Lifemark Securities Corp. registered with the SEC or a state?**
Lifemark Securities Corp. is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 16204.

**How much does Lifemark Securities Corp. manage?**
Lifemark Securities Corp. reports $424,939,705 in regulatory assets under management in its Form ADV filing dated March 9, 2026 (100% discretionary).

**How have Lifemark Securities Corp.'s assets and staff changed since 2021?**
In the Form ADV data for Lifemark Securities Corp.: Regulatory assets under management: $201,661,758 in the October 2021 data and $424,939,705 in the October 2026 data, up 111%. Total employees: 72 in October 2021 and 78 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Lifemark Securities Corp. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (986); high net worth individuals (67).

**Which custodians does Lifemark Securities Corp. use?**
Lifemark Securities Corp.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Lifemark Securities Corp. report any disciplinary disclosures?**
Reports 10 disclosure items on Form ADV Item 11: yes answers to 9 questions about regulatory matters and 1 question about civil court matters (11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.E(1), 11.E(2), 11.E(4), 11.H(1)(b)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/16204

**What changed in Lifemark Securities Corp.'s recent Form ADV filings?**
In the April 2026 filing data: Its Item 11 disclosure answers changed (now yes: 11.H(1)(b); now no: 11.H(2)). Employees performing advisory functions went from 88 to 78. Changed its office addresses in Leesburg, VA. Added an office in East Northport, NY. No longer lists an office in Mooresville, NC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $424,939,705
- Discretionary: $424,939,705
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 986 | $247,056,961 |
| High net worth individuals | 67 | $177,882,744 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2007 (18 years)
- Employees: 78 total, 78 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OR, PA, RI, SC, TN, TX, UT, VA, VT, WA, WI, WV
- Disclosures (Item 11): Reports 10 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.E(1): Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.E(2): Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?
- 11.E(4): Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?
- 11.H(1)(b): Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/16204

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Alpharetta, GA
- Brunswick, ME
- Carefree, AZ
- Centennial, CO
- Clearwater, FL
- Copiague, NY
- East Northport, NY
- Hermann, MO
- Jacksonville, FL
- Leesburg, VA
- Livingston, NJ
- Livonia, MI
- Mt Vernon, NY
- Naples, FL
- Naugatuck, CT
- Pittsburg, CA
- Scottsdale, AZ
- Shrewsbury, PA
- Utica, NY

### Websites listed on Form ADV (Item 1.I)
- lifemark.com
- LinkedIn @lifemark-securities-corp

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $201,661,758 | 72 | September 10, 2021 |
| October 2022 | $266,233,344 | 70 | March 25, 2022 |
| October 2023 | $256,337,850 | 70 | September 8, 2023 |
| October 2024 | $246,107,839 | 86 | September 13, 2024 |
| October 2025 | $461,475,636 | 88 | March 28, 2025 |
| October 2026 | $424,939,705 | 78 | March 9, 2026 |

Regulatory assets under management: $201,661,758 in the October 2021 data and $424,939,705 in the October 2026 data, up 111%.
Total employees: 72 in October 2021 and 78 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Its Item 11 disclosure answers changed (now yes: 11.H(1)(b); now no: 11.H(2)).
- Employees performing advisory functions went from 88 to 78.
- Changed its office addresses in Leesburg, VA.
- Added an office in East Northport, NY.
- No longer lists an office in Mooresville, NC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Lifemark Securities Corp. (CRD 16204): Form ADV filing data as of October 2026.