Vickie L. Lewin
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.
Vickie Lynn Lewin, who also goes by VIckie Lynn Edwards, Vickie L Martin, Vickie Lynn Martin, Vickie Lynn Selden, was a registered financial professional .
Vickie is a previously registered financial professional and started their career in finance in 1990. Vickie had worked at 9 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2022 - January 25, 2024
ASSETMARK, INC.
March 6, 2020 - January 19, 2022
ASSETMARK, INC.
August 15, 2014 - January 25, 2024
ASSETMARK BROKERAGE, LLC
December 3, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
April 1, 2008 - November 15, 2013
CAPITAL BROKERAGE CORPORATION
October 11, 2002 - January 3, 2020
ASSETMARK, INC.
December 6, 2001 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
February 11, 1993 - October 19, 1995
PORTFOLIO BROKERAGE SERVICES, INC.
August 4, 1992 - January 22, 1993
INVESCO DISTRIBUTORS, INC.
November 15, 1991 - March 30, 1992
A. G. EDWARDS & SONS, INC.
October 26, 1990 - November 18, 1991
NUVEEN SECURITIES, LLC
February 6, 1990 - September 4, 1990
CARNEGIE FUND DISTRIBUTORS, INC.
Primary Firm SEC Registration
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
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 | ||
| 12/19/2024 | ||
| 08/23/2024 | ||
| 12/06/2023 |
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.
