John S. Lombardo

Some features on this profile are disabled

CRD#: 1754273

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.

John Scott Lombardo was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1989. John had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

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

November 11, 2015 - May 6, 2020

ASSETMARK, INC.

RIA

CRD#: 109018

State College, PA

Past

May 19, 2015 - October 1, 2015

ARIS WEALTH SERVICES INC

RIA

CRD#: 104577

STATE COLLEGE, PA

Past

October 27, 1999 - December 31, 2000

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

March 6, 1998 - May 14, 1998

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

May 10, 1995 - May 28, 1997

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

Past

May 18, 1994 - May 4, 1995

GARDEN STATE SECURITIES, INC.

CRD#: 10083

RED BANK, NJ

Past

March 21, 1990 - November 26, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 3, 1989 - February 1, 1990

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

May 26, 1989 - August 30, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 14, 1989 - June 8, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/1999

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/21/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/17/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/21/1989

National Commodity Futures Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA 94520-2445

Mailing Address

Phone number

(800) 664-5345

Established

Firm type

Fiscal year end

# of Employees

735

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (11/17/2025)

REFERRAL DISCLOSURE BROCHURE (11/17/2025)

PLATFORM DISCLOSURE BROCHURE (11/17/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (11/17/2025)

ASSETMARK, INC. PART 2A (11/17/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (3/26/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	410,749
AUM (Assets Under Management)	$ 77,412,781,198

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/29/2025	Cover Page	Report
12/19/2024	Cover Page	Report
08/23/2024	Cover Page	Report
12/06/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John S. Lombardo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARIS WEALTH SERVICES INC

EQUITY SERVICES, INC.

WORLDCO, L.L.C.

ELECTRONIC TRADING GROUP, LLC

GARDEN STATE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/1999

Series 63

Date: 2/21/1989

Series 7

Date: 5/17/1994

Series 3

Date: 3/21/1989

Current Firm

ASSETMARK, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSETMARK, INC.

TRUST BUT VERIFY

Similar Advisors