Brian S. Wubbe

ASSETMARK

Warrington, PA

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CRD#: 3147757

Professional summary

Brian Scott Wubbe, who also goes by Brian Scott Wubbe, is a registered financial advisor currently at ASSETMARK, INC. located in Warrington, Pennsylvania and ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Brian has worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Scott Wubbe

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 06/2025 - 160 HRS / MONTHLY - BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Wubbe'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

June 23, 2025 - Present

ASSETMARK, INC.

RIA

CRD#: 109018

Warrington, PA

Current

June 20, 2025 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 200 W. Madison Ave. Suite 2200, Chicago, IL 60606

CRD#: 169804

Chicago, IL

Past

April 6, 2023 - June 11, 2025

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

OAKS, PA

Past

April 5, 2023 - June 11, 2025

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

January 12, 2022 - September 1, 2022

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

Berwyn, PA

Past

October 19, 2020 - December 31, 2021

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

BERWYN, PA

Past

January 11, 2019 - October 16, 2020

BRINKER CAPITAL INC

RIA

CRD#: 111743

BERWYN, PA

Past

January 10, 2019 - September 1, 2022

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123

BERWYN, PA

Past

June 19, 2014 - November 2, 2018

TOEWS ASSET MANAGEMENT

RIA

CRD#: 106304

NEW YORK, NY

Past

October 15, 2013 - October 31, 2018

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

March 12, 2012 - September 4, 2013

FINANCIAL TELESIS INC

RIA

CRD#: 31012

BERWYN, PA

Past

March 9, 2012 - September 4, 2013

FINANCIAL TELESIS INC

CRD#: 31012

BERWYN, PA

Past

October 26, 2011 - April 4, 2012

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, NY

Past

January 5, 2010 - October 15, 2010

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA

CRD#: 152237

PHILADELPHIA, PA

Past

January 5, 2010 - October 15, 2010

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

March 15, 2007 - December 31, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

RIA

CRD#: 145

PHILADELPHIA, PA

Past

December 15, 2006 - December 31, 2009

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

PHILADELPHIA, PA

Past

March 16, 2006 - June 7, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

PLYMOUTH MEETING, PA

Past

March 16, 2006 - June 7, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PLYMOUTH MEETING, PA

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

Pennsylvania
(6/23/2025)

IAR

Pennsylvania
(6/23/2025)

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: 1/22/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/2006

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: 12/6/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/8/2006

Investment Company Products/Variable Contracts Representative 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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Advisor Monitoring

Firm Stability Insights

Brian S. Wubbe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott Wubbe's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

SEI INVESTMENTS MANAGEMENT CORP

SEI INVESTMENTS DISTRIBUTION CO.

ORION PORTFOLIO SOLUTIONS, LLC

ORION PORTFOLIO SOLUTIONS, LLC

BRINKER CAPITAL INC

BRINKER CAPITAL SECURITIES, LLC

TOEWS ASSET MANAGEMENT

NORTHERN LIGHTS DISTRIBUTORS, LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

RAFFERTY CAPITAL MARKETS, LLC

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

DELAWARE DISTRIBUTORS, L.P.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2007

Series 63

Date: 4/15/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/6/2012

Series 6

Date: 3/8/2006

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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