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Giancarlo E. Rosati

Some features on this profile are disabled
CRD#: 1984137
GR

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.

Giancarlo Euegen Rosati, who also goes by Giancarlo E Rosati, John Eugene Rosati, John Rosati, was a registered financial professional .

Giancarlo is a previously registered financial professional and started their career in finance in 1997. Giancarlo had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Giancarlo E Rosati | John Eugene Rosati | John Rosati

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

August 15, 2014 - October 18, 2016

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
CONCORD, CA
Past

December 3, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 31, 2008 - October 18, 2016

ASSETMARK, INC.

RIA
CRD#: 109018
STAMFORD, CT
Past

November 19, 2007 - November 20, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

March 24, 2006 - August 1, 2008

GENWORTH FINANCIAL ASSET MANAGEMENT, INC

RIA
CRD#: 105771
STAMFORD, CT
Past

May 11, 2005 - March 17, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
WILTON, CT
Past

December 10, 2004 - March 17, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

July 30, 2003 - October 13, 2004

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

April 1, 2003 - August 13, 2003

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

December 7, 2001 - April 4, 2002

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

March 14, 1997 - December 5, 2001

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT

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 65
Date: 2/27/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/18/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/1997
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AB
ASSETMARK BROKERAGE, LLC
ASSETMARK BROKERAGE, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASSETMARK FINANCIAL HOLDINGS, INC.OWNER
HANSEN, CARRIE ELLENPRESIDENT/ MANAGING PRINCIPAL4781315
KOVAL, JOHN HENRYAML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO2468284
LAMBUTH, RYAN SCOTTCHIEF COMPLIANCE OFFICER5382199

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.

Company Information

ASSETMARK BROKERAGE, LLC

CRD#: 169804

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