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1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-02-17 |
| WI | RA | APPROVED | 2026-02-17 |
Branch Locations
1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
200 W. Madison Ave. Suite 2200, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Waukesha | WI | 08/2018 | 04/2019 |
| Morgan Stanley | Waukesha | WI | 09/2017 | 12/2017 |
| Ozaukee Country Club | Mequon | WI | 07/2016 | 08/2017 |
| Fidelity Information Services (Fis) | Brown Deer | WI | 06/2016 | 09/2016 |
| Northhills Country Club | Menonomee Falls | WI | 07/2017 | 10/2017 |
| University Of Wisconsin Milwaukee | Milwaukee | WI | 08/2012 | 05/2018 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 09/2018 | 04/2019 |
| Wells Fargo Funds Distributor, Llc | Menomonee Falls | WI | 04/2019 | 01/2020 |
| Unemployed | Milwaukee | WI | 01/2020 | 05/2020 |
| Unemployed | Milwaukee | WI | 05/2023 | 10/2023 |
| Northwestern Mutual | Milwaukee | WI | 12/2021 | 04/2023 |
| Unemployed | Milwaukee | WI | 08/2021 | 11/2021 |
| Robert W Baird | Milwaukee | WI | 04/2020 | 07/2021 |
| Unemployed | Milwaukee | WI | 02/2020 | 03/2020 |
| Wells Fargo Asset Management | Milwaukee | WI | 03/2019 | 02/2020 |
| Morgan Stanley | Waukesha | WI | 05/2018 | 02/2019 |
| Uw-Milwaukee | Milwaukee | WI | 08/2012 | 04/2018 |
| Morgan Stanley | Waukesha | WI | 08/2017 | 12/2017 |
| Northhills Country Club | Milwaukee | WI | 07/2017 | 10/2017 |
| Fidelity Information Services (Fis) | Brown Deer | WI | 06/2016 | 09/2016 |
| Thrivent Investment Management Inc | Milwaukee | MN | 10/2023 | 03/2024 |
| Thrivent Financial | Appleton | WI | 11/2023 | 03/2024 |
| Unemployed | Milwuakee | WI | 04/2024 | 10/2024 |
| Zacks Investment Management | Chicago | IL | 11/2024 | 02/2026 |
| Assetmark Brokerage, Llc | Chicago | IL | 02/2026 | Present |
| Assetmark Financial Holdings, Inc | Chicago | IL | 02/2026 | Present |
| B'CApri, Llc | Milwaukee | WI | 02/2007 | Present |
ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 02/2026 - 160 HRS / MONTHLY - BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. B'CAPRI, LLC - NOT INVESTMENT-RELATED - START DATE 2/2007 - DORMANT LLC - 0 HRS/ MONTHLY - 0 HOURS DURING SECURITY TRADING HOURS - NO DUTIES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-12-08 |
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