Firm Description LifeMark Securities Corp. (hereinafter “LMSC,” “We,” “Us,” or “the Firm”) was founded in Rochester, NY in 1983. LMSC’s investment adviser is registered with the Securities and Exchange Commission (“SEC”) and was founded in Rochester, NY in 2007. As an investment adviser, LMSC provides a variety of advisory services to our clients through individuals associated through us referred to as investment advisory representatives (“IARs” or “IAR”). In addition to operating as an investment adviser, LMSC operates as a broker-dealer and is a member of the Financial Industry Regulatory Authority (“FINRA”) and the Securities Investors Protection Corporation (“SIPC”). Principal Owners Vincent Micciche Jr.: Board Member, CRD No. 702149 Andrew Kalinowski: Board Member, CRD No. 263409 Jim Prisco: Board Member, President, and CEO, CRD No. 2653402 Introduction As an investment adviser, we offer a variety of advisory services to our clients through individuals associated with us as IARs. LMSC and our IARs have a fiduciary duty to act in the best interest of our clients, putting their interests ahead our own. In the process, conflicts of interest will be disclosed in the unlikely event they should occur. All our IARs are registered representatives of our broker-dealer and many of our IARs act as traditional insurance agents independent from our firm. As a broker-dealer, LMSC is in the business of selling annuities, stocks, bonds, mutual funds, limited partnerships, alternative investments, and/or other commissionable products. To the extent the IAR provides traditional insurance products or services to the client, he or she does so outside of our firm and supervision. Description of Primary Advisory Services Our primary advisory services consist of investment advisory services, financial planning and consulting, and retirement plan advisory services. Prior to engaging in one or more of these advisory services, the IAR will meet with the client to determine their suitability. Suitability factors include investment objectives, investment experience, risk tolerance, time horizon, individual preferences, and financial information, among other factors. If agreed upon by the client, the client will enter into an agreement with our firm setting forth the terms and conditions of the advisory service(s) to be performed. Investment Advisory Services LMSC offers fee-based investment advisory services through our Unified Managed Account Program (“UMA”), Separately Managed Account Program (“SMA”), Fund Strategist Portfolio Program (“FSP”), Advisor as Portfolio Manager Program (“APM”), and Turnkey Asset Management Programs (“TAMP”). Through the various programs offered, the IAR may recommend strategies that may result in the purchase or sale of model portfolios, mutual funds, exchange traded funds (“ETFs”), stocks, bonds, commodities, unit investment trusts (“UITs”), and/or cash and cash equivalents in the client’s advisory account. The percentage weighting within each asset class is based on the client’s suitability information gathered by the IAR. LMSC utilizes technology systems known as trade overlays on clearing firm custodied accounts. The trade overlay vendors deploy an implementation manager responsible for executing trades on behalf of the IAR. The client will enter into a single contract with LMSC through our Investment Advisory Agreement (“IAA”). The IAR will engage the client after a thorough understanding of their suitability and by completing a risk-based questionnaire or risk assessment. After the client’s investment suitability is determined, the IAR recommends an investment advisory program. The client will have the opportunity to meet with the IAR to periodically review their portfolio holdings, asset allocation, account performance, investment strategy, and suitability, among other information. The client will always maintain full and complete ownership to the assets held in their investment advisory account. This means the client will retain the right to buy and sell securities, add and withdrawal cash, vote securities, and receive timely statements and confirmations. The client’s advisory account will be managed on a discretionary or non-discretionary basis. Investment discretion is explained in greater detail in Item 16. Fund Strategist Portfolio Program (“FSP”) The FSP Program provides the IAR with access to a universe of professionally managed asset-allocated portfolios composed of mutual funds and/or ETFs. Each portfolio is assigned a risk rating by the platform, which allows the IAR to view all available risk-appropriate portfolios based on the risk assessment completed by the client. The IAR is solely responsible for recommending and selecting the FSP for the client. The fund strategist determines the portfolio’s asset allocation and underlying securities as well as any ongoing portfolio changes. These instructions are transmitted to the platform implementation manager for initial mutual fund and/or ETF purchases and ongoing portfolio management. Separately Managed Account Program (“SMA”) The SMA Program provides the IAR with access to a universe of investment style-specific professionally managed models composed of stocks, mutual funds, and/or ETFs. The IAR is solely responsible for recommending and selecting the SMA for the client. The platform assists the IAR in identifying the SMAs that correspond to the proposed asset classes and styles, or the IAR can independently identify SMAs. SMAs may be directly managed by a discretionary investment manager or provided as a model and implemented through the implementation manager. Unified Managed Account Program (“UMA”) The UMA Program enables the IAR to create personalized portfolios housed in a single account. UMAs offer the ability to incorporate a blend of mutual funds, ETFs, FSPs, and SMAs by accounting for each investment as a unique investment “sleeve” within the account. The IAR determines the investments to utilize within the UMA from the investment options available on the platform, including any combination of the options mentioned above. The IAR is solely responsible for determining the asset allocation and investment options recommended to the client. Once the IAR has established the allocation, the platform implementation manager implements purchases and sales of securities for the account based on (1) the asset allocation selected by the IAR, (2) the underlying securities being managed by the fund strategist and/or separate account manager used in the UMA portfolio, and/or (3) instructions of the IAR as to the weighting of any investment options. The IAR may also utilize a portfolio they have personally created within the platform, discussed below in section titled Advisor as Portfolio Manager (“APM”), as a sleeve within the UMA (an “IAR Managed Sleeve”). In this scenario the implementation manager, not the IAR, will implement purchases and sales for the IAR Managed Sleeve. The IAR may also select a pre-designed version of the UMA, whereby the IAR does not determine the asset

allocation or investment options used in each sleeve of the UMA portfolio. In the “Packaged” UMA, the IAR will select the prepackaged asset allocation and investment options provided by the fund strategist and/or separate account manager. The implementation manager provides portfolio implementation management services for the “Packaged” UMA accounts to implement purchases and sales of securities. Advisor as Portfolio Manager (“APM”) APM is an investment advisory program designed to allow the IAR to create custom allocations for their clients. The IAR is solely responsible for creating, managing, trading, and making any recommendations with respect to their custom allocations. Additional requirements must be satisfied if the IAR wishes to participate in this program. The IAR will submit their qualifications and business model to LMSC for review and approval prior to engaging their clients. Qualifications considered include, but are not limited to, the following: 1. High level education with financial or investment management focus 2. Professional designations 3. Utilization and proficiency with financial technology 4. Outsourced investment management or consultation services The IAR will be required to demonstrate a comprehensive portfolio and client account review process including regularly scheduled client communications. Turnkey Asset Management Program (“TAMP”) The IAR may select amongst a list of pre-approved TAMPs. Each TAMP will offer a choice of separate third-party money managers or strategists selected by the TAMP for inclusion on their respective platform. The managers’ or strategists’ investment options include, but are not limited to, mutual funds, ETFs, and/or individual securities. Under the arrangement, the client will enter into a dual contract with the TAMP sponsor and LMSC, whereby the IAR will not maintain discretion on the account. The IAR, through a risk assessment, will have access to generate an appropriate investment proposal suitable for the client. Financial Planning and Consulting In addition to fee-based investment advisory services, the IAR may also provide comprehensive financial planning and consulting services to the client. A financial plan is designed to help the client with specific aspects of financial planning without ongoing investment advisory services after the financial plan is completed. The financial plan may include, but is not limited to, portfolio review/analysis, risk management analysis, retirement planning analysis, cash flow analysis, education funding analysis, and budgeting. Additional financial planning and consulting services are outlined in LMSC’s Financial Planning Services Agreement. Financial planning is a discovery process contemplating situations where the client is unaware of certain financial exposures or predicaments. Reallocation of available resources and adjustment of stated goals may be recommended as part of the resulting financial plan; however, implementation of the recommendations is at the discretion of the client. Financial planning can range in complexity. As a result, planning and consulting fees are negotiable on a case-by-case basis. Retirement Plan Advisory Services LMSC also provides retirement plan advisory services to sponsors of participant account-directed plans covered by the Employee Retirement Income Security Act (“ERISA”) of 1974, as amended. There is no plan size minimum. Open architecture retirement plan advisory services are provided in conjunction with an administration and recordkeeping service provider and generally a broker-dealer or investment adviser. The plan sponsor enters into both (1) an IAA with LMSC, and (2) separate services agreements with each service provider, e.g., administrative, recordkeeping, and third-party money managers. Plan sponsors authorize the IAR to recommend the selection, addition, removal and/or replacement of investment options available for purchase by plan participants. Recommendations must be consistent with any written investment policies approved by the plan sponsor and provided to LMSC along with any requirements under ERISA. Based upon the IAR’s evaluation of each investment option, the plan sponsor will determine the appropriateness and continued suitability of available investment options. At least annually, the IAR will meet with the plan sponsor and review the plan’s investment options to determine ongoing appropriateness. If an existing investment is no longer appropriate as an investment option, the IAR will assist in the transition to the replacement option if requested by the plan sponsor. The IAR is responsible for monitoring the relevant data on the suitability of each investment option and providing the plan sponsor, through the record keeper or administrator, with services described in the IAA. To fulfill expanded transparency requirements, set forth under Section 408(b)(2) of ERISA, effective as of July 1, 2012, the IAR discloses detailed information regarding fees, services, and fiduciary status to plan sponsors when the IAA is completed. Retirement Plan Rollovers When leaving an employer, the client typically has four options and may engage in a combination of these options: (1) leave the assets in the former employer’s plan, if permitted, (2) roll over the assets to the new employer’s plan, if one is available and rollovers are permitted, (3) roll over the assets to an Individual Retirement Account (“IRA”), or (4) cash out the account value which would result in ordinary income tax and a penalty tax if you are under age 59 ½. The IAR may recommend the client to roll over their qualified plan assets to an IRA for which the IAR would provide investment advisory services. As a result, the IAR may receive compensation. In contrast, a recommendation that a client or prospective client leave his or her plan assets with his or her old employer or roll the assets to a plan sponsored by a new employer will generally result in no compensation to the IAR. Therefore, the IAR may have an economic incentive to encourage the client to roll over plan assets into an IRA in which the IAR would provide investment advisory services. Tailored Relationships LMSC’s advisory services are tailored to the suitability of the client. The IAR will recommend specific advisory services based on the client’s suitability. The client’s suitability and recommendations made by the IAR are documented in our firm’s client relationship management system. If changes need to be made to the client’s suitability, the client should notify their IAR immediately. The recommendations made by the IAR largely depend on the accuracy of suitability information provided by the client. Clients may impose restrictions on certain investment options and types of securities. Assets Under Management As of January 1, 2024, the firm had $246,107,839 in assets under management on a discretionary basis and $0 in assets under management on a non-discretionary basis. The total assets under management of the firm’s advisory clients are $246,107,839.