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1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-07-29 |
Branch Locations
200 W. Madison Ave. Suite 2200, Chicago, IL 60606 • United States
1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Securities, Llc | Chicago | IL | 03/2012 | 05/2023 |
| Nuveen Asset Management, Llc | Chicago | IL | 03/2012 | 05/2023 |
| Assetmark Brokerage, Llc | Chicago | IL | 07/2024 | Present |
| Assetmark Financial Holdings, Inc | Chicago | IL | 07/2024 | Present |
| Unemployed | Chicago | IL | 06/2023 | 06/2024 |
ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 07/2024 - 160 HRS / MONTHLY - SENIOR WEALTH SERVICES SPECIALIST OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-01-02 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-16 |
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