Patricia L. Brady

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CRD#: 2330553

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.

Patricia Lynn Brady, who also goes by Tricia Lynn Brady, Patricia Lynn Mahoney, Patricia Mahoney, Tricia Mahoney, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1993. Patricia had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Tricia Lynn Brady | Patricia Lynn Mahoney | Patricia Mahoney | Tricia Mahoney

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: 04/2022-160 HRS/Monthly, Vice President, Business Consultant of AssetMark, Inc- A Registered Investment Adviser-In Concord, CA-Affiliate of AssetMark Brokerage, LLC-Investment Related. Book Projects through PinkFix Productions - Not investment related - Legacy Launch Book Collaboration - Contributing author in a book collaboration through Amazon Kindle, podcast interview and social media - Featured Author in book collaboration - Writing a chapter, will be promoting book/chapter on podcast interview and social media - Start date 10/2024 - Spend no more than 4 hours/monthly, 0 hours during securities trading hours. HR-4U, Inc. - Not Investment Related - HR-4U, Inc. -Volunteer Vice President & Board member of HR-4U, a 501(c)(3) nonprofit. Responsibilities include board governance, strategic planning, committee leadership, fundraising support, and advancing the organization's mission. No investment, securities, or financial planning activities. - Vice President, Board of Directors - Start Date 7/2026 - Spend approximately 1.5 hours/week , 0 hours during trading hours. - Attend board meetings; participate in governance, strategic planning, committee work, fundraising initiatives, and organizational oversight; provide strategic guidance and leadership; promote awareness of the organization's mission; review policies and organizational initiatives; fulfill fiduciary responsibilities as a nonprofit Board officer. Book and Podcast Projects - Not investment related - Author for own book or Contributing author in book collaborations through Amazon, podcast/radio interviews, social media- Author (The Dance to Independence), Featured author in book collaboration - Start date 10/2024 - Spend no more than 1 hour/week, 0 hours during securities trading hours. - writing book(s); promoting book(s) on podcast interviews and social media.

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

May 24, 2022 - August 20, 2026

ASSETMARK, INC.

RIA

CRD#: 109018

Huntington, NY

Past

May 24, 2022 - August 20, 2026

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

December 1, 2020 - April 16, 2021

HIGHTOWER SECURITIES, LLC

CRD#: 116681

CHICAGO, IL

Past

November 24, 2020 - April 16, 2021

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Chicago, IL

Past

March 12, 2019 - October 25, 2019

PRINCIPLE WEALTH

RIA

CRD#: 290180

MADISON, CT

Past

July 17, 2018 - January 11, 2019

DYNASTY WEALTH MANAGEMENT, LLC

RIA

CRD#: 153377

NEW YORK, NY

Past

June 21, 2018 - January 11, 2019

DYNASTY SECURITIES, LLC

CRD#: 159076

SAINT PETERSBURG, FL

Past

April 27, 2016 - April 30, 2018

BEIRNE.

RIA

CRD#: 167103

Shelton, CT

Past

March 1, 2016 - April 30, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Shelton, CT

Past

April 25, 2007 - January 4, 2016

ASCENSUS BROKER DEALER SERVICES, LLC

CRD#: 36478

NEEDHAM, MA

Past

January 12, 2006 - April 16, 2007

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

SHELTON, CT

Past

June 15, 2004 - April 16, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

SHELTON, CT

Past

June 15, 2004 - April 16, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SHELTON, CT

Past

February 27, 2004 - May 12, 2004

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

SHELTON, CT

Past

January 29, 2004 - May 12, 2004

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

March 12, 2003 - February 11, 2004

AMERICAN SKANDIA ADVISORY SERVICES, INC.

RIA

CRD#: 109211

SHELTON, CT

Past

March 15, 2001 - February 11, 2004

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

March 28, 1997 - July 23, 1999

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

December 1, 1993 - March 10, 1997

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

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: 9/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/1994

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: 11/30/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/17/1998

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, INC. PART 2A (12/15/2025)

REFERRAL DISCLOSURE BROCHURE (12/15/2025)

PLATFORM DISCLOSURE BROCHURE (12/15/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (12/15/2025)

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (12/15/2025)

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

Patricia L. Brady

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

HIGHTOWER SECURITIES, LLC

HIGHTOWER ADVISORS, LLC

PRINCIPLE WEALTH

DYNASTY WEALTH MANAGEMENT, LLC

DYNASTY SECURITIES, LLC

BEIRNE.

PURSHE KAPLAN STERLING INVESTMENTS

ASCENSUS BROKER DEALER SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PGIM INVESTMENTS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

AMERICAN SKANDIA ADVISORY SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BNY MELLON SECURITIES CORPORATION

NEUBERGER BERMAN MANAGEMENT LLC

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1994

Series 63

Date: 1/25/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/30/1993

Series 24

Date: 9/17/1998

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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