Scott M. Friel

ASSETMARK

Omaha, NE

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CRD#: 2205230

Professional summary

Scott Matthew Friel, who also goes by Scott Matthew Friel, Scott Friel, is a registered financial advisor currently at ASSETMARK, INC. located in Omaha, Nebraska.

Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Scott has worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Matthew Friel | Scott Friel

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 10/2024 - 160 HRS / MONTHLY - BUSINESS CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Matthew Friel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 1, 2024 - Present

ASSETMARK, INC.

RIA

CRD#: 109018

Omaha, NE

Past

June 14, 2024 - October 7, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCOTTSDALE, AZ

Past

May 26, 2021 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LA VISTA, NE

Past

December 3, 2020 - January 15, 2021

POTOMAC

RIA

CRD#: 105413

Omaha, NE

Past

November 26, 2019 - November 2, 2020

ABSOLUTE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 121484

Omaha, NE

Past

December 11, 2007 - January 18, 2008

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

February 8, 2007 - November 18, 2019

THE PACIFIC FINANCIAL GROUP, INC.

RIA

CRD#: 105203

NASHVILLE, TN

Past

July 2, 2004 - December 31, 2005

QA3 FINANCIAL LLC

RIA

CRD#: 104957

OMAHA, NE

Past

November 26, 2002 - December 31, 2005

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

September 6, 2001 - November 18, 2002

SUNSET FINANCIAL SERVICES, INC.

RIA

CRD#: 3538

OMAHA, NE

Past

June 1, 2001 - November 18, 2002

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

November 9, 2000 - June 1, 2001

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

March 22, 2000 - August 30, 2000

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

January 16, 1998 - December 16, 1999

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 9, 1992 - January 15, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(11/1/2024)

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: 4/15/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/1/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/7/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/18/1997

General Securities Principal 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.

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Advisor Monitoring

Firm Stability Insights

Scott M. Friel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Matthew Friel's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

POTOMAC

ABSOLUTE CAPITAL MANAGEMENT, LLC

QA3 FINANCIAL CORP.

THE PACIFIC FINANCIAL GROUP, INC.

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

SUNSET FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

QA3 FINANCIAL CORP.

SECURITIES AMERICA, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/15/1998

Series 63

Date: 1/7/1992

Series 7

Date: 2/1/1996

Series 6

Date: 1/7/1992

Series 24

Date: 12/18/1997

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

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