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KM

Kevin P. Mooney

ASSETMARK BROKERAGE
CONCORD, CA 94520
Some features on this profile are disabled
CRD#: 3023321
KM
Kevin Patrick MooneyASSETMARK BROKERAGE

Professional summary

Kevin Patrick Mooney, who also goes by Kevin Mooney, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Concord, California.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55 and Series 6 exams.

Aliases

Kevin Mooney

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) - BD

Click below to view Kevin Patrick Mooney's 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

July 9, 2026 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520
BD
CRD#: 169804
CONCORD, CA
Past

August 22, 2024 - June 22, 2026

AE WEALTH MANAGEMENT, LLC

RIA
CRD#: 282580
Las Vegas, NV
Past

June 26, 2024 - June 22, 2026

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
SAN DIEGO, CA
Past

May 16, 2023 - May 3, 2024

THE NEW PENFACS INC.

BD
CRD#: 145584
Southborough, MA
Past

March 9, 2023 - May 10, 2023

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 16, 2015 - February 21, 2023

THE NEW PENFACS INC.

BD
CRD#: 145584
Southborough, MA
Past

May 9, 2014 - January 6, 2015

TLG ADVISORS, INC.

RIA
CRD#: 111052
THE WOODLANDS, TX
Past

November 20, 2012 - January 6, 2015

THE LEADERS GROUP, INC.

BD
CRD#: 37157
LAS VEGAS, NV
Past

May 25, 2011 - September 18, 2012

DUNHAM

RIA
CRD#: 13162
RENO, NV
Past

February 15, 2011 - May 24, 2011

JAGEN INVESTMENTS, LLC

RIA
CRD#: 148607
HENDERSON, NV
Past

November 22, 2007 - June 4, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
LAS VEGAS, NV
Past

November 9, 2007 - June 4, 2008

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
LAS VEGAS, NV
Past

March 12, 2004 - November 22, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

RIA
CRD#: 13787
LAS VEGAS, NV
Past

October 13, 2003 - November 22, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

BD
CRD#: 13787
CHARLOTTE, NC
Past

February 21, 2001 - July 2, 2002

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

December 9, 1999 - January 16, 2001

WINSLOW, EVANS & CROCKER, INC.

BD
CRD#: 29686
BOSTON, MA
Past

May 29, 1998 - November 2, 1998

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Nevada
(7/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/22/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/14/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 6/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 6
Date: 5/13/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

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)

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#: 169804Concord, CA 94520

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