Michael Carroll Rossi

Current Employers

Assetmark, Inc.

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

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2023-07-19

MO RA
APPROVED

Since 2023-07-19

Branch Locations

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

Saint Louis, MO • 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
Assetmark Financial Holdings, Inc.	Saint Louis	MO	11/2015	Present
Assetmark Brokerage Llc	Saint Louis	MO	11/2015	Present
Assetmark, Inc	Saint Louis	MO	11/2015	Present

11/2015 → Present

Assetmark Financial Holdings, Inc.

Saint Louis, MO
11/2015 → Present

Assetmark Brokerage Llc

Saint Louis, MO
11/2015 → Present

Assetmark, Inc

Saint Louis, MO

Previous Registrations

2015-01-06 → 2015-11-19

Securian Financial Services, Inc.

St. Louis, MO

Other Businesses

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 11/2015 - 160 HRS/MONTHLY, REGIONAL CONSULTANT 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	2014-12-13

S66 Uniform Combined State Law Examination

2014-12-13

View on SEC IAPD

Current Employers

Assetmark, Inc.

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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