Frank A. Hayn

ASSETMARK

Atlanta, GA

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CRD#: 3041123

Professional summary

Frank Albert Hayn III, who also goes by Frank Albert Hayn, is a registered financial advisor currently at ASSETMARK, INC. located in Atlanta, Georgia and ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Frank has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Albert Hayn

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 09/2018 - 160 HRS / MONTHLY, DIRECTOR, RETIREMENT PRODUCT MANAGEMENT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFLIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Albert Hayn III'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

January 26, 2022 - Present

ASSETMARK, INC.

RIA

CRD#: 109018

Atlanta, GA

Current

September 22, 2018 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 3200 N. Central Avenue 7th Floor, Phoenix, AZ 85012-2426

CRD#: 169804

Phoenix, AZ

Past

September 20, 2018 - January 19, 2022

ASSETMARK, INC.

RIA

CRD#: 109018

Atlanta, GA

Past

March 13, 2015 - February 21, 2018

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

El Segundo, CA

Past

December 19, 2012 - February 21, 2018

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

December 19, 2012 - February 21, 2018

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

December 19, 2012 - February 21, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 20, 2012 - February 21, 2018

NATIONAL PLANNING CORPORATION

CRD#: 29604

El Segundo, CA

Past

May 21, 2002 - March 19, 2012

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

WOODLAND HILLS, CA

Past

July 31, 2000 - May 3, 2002

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

May 15, 1998 - August 10, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

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.

IAR

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

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

Georgia
(5/3/2022)

IAR

Georgia
(5/4/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/2002

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: 3/18/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/14/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/2013

General Securities Principal Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Frank A. Hayn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Albert Hayn III's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

ASSETMARK, INC.

NATIONAL PLANNING CORPORATION

SII INVESTMENTS, INC.

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

NATIONAL PLANNING CORPORATION

COREBRIDGE CAPITAL SERVICES, INC.

SENTRA SECURITIES CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2015

Series 63

Date: 1/11/2002

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1999

Series 6

Date: 5/14/1998

Series 24

Date: 7/19/2013

FINRA

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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