Larissa L. Zando

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CRD#: 2909650

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.

Larissa L Zando, who also goes by Larissa L Zando, Larissa Lee Zando, was a registered financial professional .

Larissa is a previously registered financial professional and started their career in finance in 1997. Larissa had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Larissa L Zando | Larissa Lee Zando

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. *446749 - Captain Larissa Zando; Investment related - No; Chicago, Illinois; Recreation; For hire licensed captain and sailing instructor (proprietor, partner, officer, director, employee, trustee, agent); March 2012; During business hours:0; After business hours: 20; Teach sailing, boat delivery and charter captain. 2. Larissa Zando Coaching- Investment related- No; Chicago, Illinois; Life and Executive Coach; September 2022; During business hours:0; After business hours: 20; Coaching people to obtain their desired life outcomes and ambitions. 3. ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED -EMPLOYMENT START DATE 09/2022 - 160 HRS / MONTHLY, MANAGER, SALES TRAINING AND DEVELOPMENT OF ASSETMARK, INC. - A REGISTERED INVESTMENTADVISER- IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

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®

CRD#: 40805

SCHAUMBURG, IL

Past

May 25, 2006 - May 7, 2008

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

RICHMOND, VA

Past

January 4, 2001 - May 1, 2006

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

February 28, 2000 - July 18, 2000

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

July 14, 1997 - February 16, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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 66

Series 6

Date: 7/11/1997

Investment Company Products/Variable Contracts Representative 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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Larissa L. Zando

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

MORGAN STANLEY

MORGAN STANLEY

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WILLIAM BLAIR

WILLIAM BLAIR

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

RYDEX ADVISORY SERVICES, LLC

GUGGENHEIM DISTRIBUTORS, LLC

CAPITAL BROKERAGE CORPORATION

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

NATIXIS DISTRIBUTION, LLC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/26/2021

Series 65

Date: 1/16/2009

Series 63

Date: 12/22/1998

Series 7TO

Date: 3/29/2021

SIE

Date: 11/23/2020

Series 7

Date: 4/15/2003

Series 6

Date: 7/11/1997

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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