Brian S. Wubbe
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.
Brian Scott Wubbe, who also goes by Brian Scott Wubbe, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2006. Brian had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2025 - July 31, 2026
ASSETMARK, INC.
June 20, 2025 - July 31, 2026
ASSETMARK BROKERAGE, LLC
April 6, 2023 - June 11, 2025
SEI INVESTMENTS MANAGEMENT CORP
April 5, 2023 - June 11, 2025
SEI INVESTMENTS DISTRIBUTION CO.
January 12, 2022 - September 1, 2022
ORION PORTFOLIO SOLUTIONS, LLC
October 19, 2020 - December 31, 2021
ORION PORTFOLIO SOLUTIONS, LLC
January 11, 2019 - October 16, 2020
BRINKER CAPITAL INC
January 10, 2019 - September 1, 2022
BRINKER CAPITAL SECURITIES, LLC
June 19, 2014 - November 2, 2018
TOEWS ASSET MANAGEMENT
October 15, 2013 - October 31, 2018
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 12, 2012 - September 4, 2013
FINANCIAL TELESIS INC
March 9, 2012 - September 4, 2013
FINANCIAL TELESIS INC
October 26, 2011 - April 4, 2012
RAFFERTY CAPITAL MARKETS, LLC
January 5, 2010 - October 15, 2010
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - October 15, 2010
DELAWARE DISTRIBUTORS, L.P.
March 15, 2007 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 15, 2006 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 16, 2006 - June 7, 2006
METROPOLITAN LIFE INSURANCE COMPANY
March 16, 2006 - June 7, 2006
MSI FINANCIAL SERVICES, 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
Exams
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.
