Michael Edwards

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CRD#: 1294052

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Edwards, who also goes by Michael Larry Edwards, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Larry Edwards

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 02/2021 - 160 HRS / MONTHLY - ADVISOR SERVICES PREMIER ELITE RELATIONSHIP MANAGER OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORDCA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 9, 2021 - October 8, 2024

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

June 3, 2021 - October 8, 2024

ASSETMARK, INC.

RIA

CRD#: 109018

Granbury, TX

Past

September 24, 2018 - October 3, 2019

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

Arlington, TX

Past

September 24, 2018 - October 3, 2019

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

Arlington, TX

Past

August 14, 2006 - July 12, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

July 18, 2006 - July 12, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

December 9, 1999 - December 31, 2004

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

January 19, 1994 - December 9, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

June 12, 1987 - August 12, 1989

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

April 30, 1987 - July 16, 1987

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Past

February 12, 1986 - September 16, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 20, 1984 - February 22, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/25/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1994

General Securities Representative Examination

Current Firm

ASSETMARK BROKERAGE, LLC

CRD#: 169804 / SEC#: , 8-69391

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Mailing Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Phone number

(818) 528-3727

Established

Delaware since 09/25/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ASSETMARK FINANCIAL HOLDINGS, INC.	OWNER
HANSEN, CARRIE ELLEN	PRESIDENT/ MANAGING PRINCIPAL	4781315
KOVAL, JOHN HENRY	AML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO	2468284
LAMBUTH, RYAN SCOTT	CHIEF COMPLIANCE OFFICER	5382199

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Michael Edwards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK, INC.

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

AMERIPRISE ADVISOR SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

E. F. HUTTON & COMPANY INC

FIRST JERSEY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2006

Series 63

Date: 1/26/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1994

Current Firm

ASSETMARK BROKERAGE, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETMARK BROKERAGE, LLC

TRUST BUT VERIFY

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