Patty A. Miller

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CRD#: 1896826

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.

Patty Ann Miller, CFP®, who also goes by Patty Ann Miller, Patty A Miller, Patty Miller, was a registered financial professional .

Patty is a previously registered financial professional and started their career in finance in 1990. Patty had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Patty Ann Miller | Patty A Miller | Patty Miller

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.

1) ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 03/2025 - 160 HRS / MONTHLY - RETIREMENT PLAN SERVICES BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. 2) WESTERN PENSION & BENEFITS COUNCIL - SEATTLE CHAPTER - INVESTMENT-RELATED - IN AUBRUN, WA - NATURE: RETIREMENT PLAN INDUSTRY EDUCATIONAL ORGANIZATION - BOARD MEMBER, QUARTERLY EVENTS CO-CHAIR - START DATE 07/2024 - 2 HRS/ MONTHLY - 0 HOURS DURING SECURITY TRADING HOURS - HELP PLAN AND ORGAINZE QUARTERLY EDUCATIONAL EVENTS 3) TREASURE CHEST COSIGNMENT PNW, LLC - NOT INVESTMENT-RELATED - IN FERNALE, WA - NATURE: ONLINE COSIGNMENT SERVICES - OWNER/ SOLE MEMBER - START DATE 09/2024 - 28 HRS/ MONTHLY - 0 HOURS DURING SECURITY TRADING HOURS - LISTING ITEMS FOR SALE ON E-COMMERCE PLATFORMS SUCH AS EBAY AND POSHMARK.

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®

CFP^®

Certified Financial Planner

Experience

Past

May 21, 2025 - October 8, 2025

ASSETMARK, INC.

RIA

CRD#: 109018

Ferndale, WA

Past

May 21, 2025 - October 8, 2025

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

October 17, 2023 - December 31, 2024

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Ferndale, WA

Past

October 17, 2023 - December 31, 2024

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

October 24, 2003 - September 18, 2023

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Ferndale, WA

Past

March 12, 1998 - September 18, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Richfield, OH

Past

July 30, 1990 - February 10, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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 65

Date: 2/4/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1990

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: 7/25/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/31/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/11/2001

General Securities Sales Supervisor - Options Module Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

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

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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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Patty A. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/4/1995

Series 63

Date: 8/25/1990

SIE

Date: 10/1/2018

Series 7

Date: 7/25/1990

Series 10

Date: 8/31/2001

Series 9

Date: 7/11/2001

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

Contact information

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