Kevin P. Mooney
Professional summary
Kevin Patrick Mooney, who also goes by Kevin Mooney, is a registered financial advisor currently at ASSETMARK, INC. located in Las Vegas, Nevada and ASSETMARK BROKERAGE, LLC located in Concord, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kevin has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 55 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Patrick Mooney's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2026 - Present
ASSETMARK, INC.
July 9, 2026 - Present
ASSETMARK BROKERAGE, LLC
Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520August 22, 2024 - June 22, 2026
AE WEALTH MANAGEMENT, LLC
June 26, 2024 - June 22, 2026
MADISON AVENUE SECURITIES, LLC
May 16, 2023 - May 3, 2024
THE NEW PENFACS INC.
March 9, 2023 - May 10, 2023
THE LEADERS GROUP, INC.
January 16, 2015 - February 21, 2023
THE NEW PENFACS INC.
May 9, 2014 - January 6, 2015
TLG ADVISORS, INC.
November 20, 2012 - January 6, 2015
THE LEADERS GROUP, INC.
May 25, 2011 - September 18, 2012
DUNHAM
February 15, 2011 - May 24, 2011
JAGEN INVESTMENTS, LLC
November 22, 2007 - June 4, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 9, 2007 - June 4, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 12, 2004 - November 22, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
October 13, 2003 - November 22, 2005
UVEST FINANCIAL SERVICES GROUP, INC.
February 21, 2001 - July 2, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 9, 1999 - January 16, 2001
WINSLOW, EVANS & CROCKER, INC.
May 29, 1998 - November 2, 1998
SIGNATOR INVESTORS, 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
(7/9/2026)
(7/21/2026)
Exams
Series 55
Date: 6/1/2000
Limited Representative-Equity Trader ExamFINRA
Current 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.
