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1655 Grant Street 10Th Floor, Concord, CA 94520-2445 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-04-01 |
Branch Locations
2825 South Blvd Ste 500, Charlotte, NC 28209 • 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 |
|---|---|---|---|---|
| Tapfin/Ernst & Young | Secaucus | NJ | 10/2017 | 03/2018 |
| Universal Yums | Orange | NJ | 05/2016 | 10/2017 |
| Brunch & Budget, Llc | New York | NY | 03/2018 | 05/2018 |
| Tapfin/Ernst & Young | Secaucus | NJ | 05/2018 | 03/2020 |
| Ally Invest Securities Llc | Charlotte | NC | 10/2020 | 03/2021 |
| Unemployed | Charlotte | NC | 03/2020 | 10/2020 |
| Unemployed | Charlotte | NC | 04/2021 | 06/2021 |
| Ubs Financial Services | Charlotte | NC | 06/2021 | 09/2021 |
| Wealthcare | Richmond | VA | 09/2021 | 01/2022 |
| Ally Invest Securities Llc | Charlotte | NC | 10/2020 | 03/2021 |
| Ernst & Young Investment Advisers Llp | Secaucus | NJ | 10/2017 | 03/2020 |
| Ubs Financial Services | Charlotte | NC | 06/2021 | 09/2021 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 01/2022 | 11/2025 |
| Northwestern Mutual Investment Services Llc | Milwaukee | WY | 02/2022 | 11/2025 |
| Wells Fargo Clearing Services Llc | St Louis | MO | 04/2021 | 04/2021 |
| Assetmark Financial Holdings, Inc | Charlotte | NC | 12/2025 | Present |
| Assetmark Brokerage, Llc | Charlotte | NC | 12/2025 | Present |
| Fly High Financial, Llc | Charlotte | NC | 01/2019 | Present |
| Communique | Charlotte | NC | 01/2023 | Present |
| Assetmark, Inc | Charlotte | NC | 12/2025 | Present |
| Alder & Oak Financial Co. | Charlotte | NC | 05/2026 | Present |
1. COMMUNIQUE - NOT INVESTMENT-RELATED - IN CHARLOTTE, NC 28277 - ETSY BOUTIQUE - OWNER - START DATE: 1/2023 - HOURS PER MONTH: 6-20, HOURS DURING SECURITIES TRADING HOURS: 0 - DESIGNING AND SELLING BAGS AND ENAMEL PINS 2. FLY HIGH FINANCIAL, LLC - NOT INVESTMENT-RELATED - IN CHARLOTTE, NC 28277 - BOOKKEEPER/TAX PREPARER - OWNER - START DATE: 1/2019, HOURS PER MONTH: 21-40 - HOURS DURING SECURITIES TRADING HOURS: 0 - TAX PREPARATION, TAX PLANNING, BOOKKEEPING, AND NOTARY 3. ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 12/2025 - 160 HRS / MONTHLY - SENIOR FINANCIAL PLANNER OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. 4. ALDER & OAK FINANCIAL CO. - NOT INVESTMENT-RELATED - IN CHARLOTTE, NC - BOOKKEEPING, FINANCIAL ORGANIZATION, AND TAX PREP SERVICES - OWNER - START DATE 05/2026 - 40 HRS/ MONTHLY - 0 HOURS DURING SECURITY TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2021-08-27 |
| S65 | Uniform Investment Adviser Law Examination | 2017-12-04 |
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