Omar Mercado

Current Employers

Assetmark, Inc.

1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-06-07

CA RA
APPROVED

Since 2021-06-07

Branch Locations

Alhambra, CA • United States

1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Matthew Plocher	Los Angeles	CA	03/2016	03/2021
Northwestern Mutual Investment Services, Llc	Los Angeles	CA	04/2016	03/2021
Assetmark Financial Holdings, Inc,	Alhambra	CA	03/2021	Present
Assetmark Brokerage, Llc	Alhambra	CA	03/2021	Present

03/2016 → 03/2021

Matthew Plocher

Los Angeles, CA
04/2016 → 03/2021

Northwestern Mutual Investment Services, Llc

Los Angeles, CA
03/2021 → Present

Assetmark Financial Holdings, Inc,

Alhambra, CA
03/2021 → Present

Assetmark Brokerage, Llc

Alhambra, CA

Previous Registrations

2016-05-04 → 2021-03-25

Northwestern Mutual Investment Services, Llc

Los Angeles, CA
2013-12-19 → 2016-03-31

National Planning Corporation

El Segundo, CA

Other Businesses

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 03/2021 - 160 HRS / MONTHLY, PROCESS OWNER, AMRS OPERATIONS OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-11-23

S66 Uniform Combined State Law Examination

2013-11-23

View on SEC IAPD