Robert D. Flowers

ASSETMARK BROKERAGE

Concord, CA 94520

Some features on this profile are disabled

CRD#: 4044752

Professional summary

Robert Dominic Flowers III, CFP®, who also goes by Robert Dominic Flowers, Robert Flowers, Robert Dominic Flowers III, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Concord, California.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1999. Robert has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Robert Dominic Flowers | Robert Flowers | Robert Dominic Flowers Iii

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 Robert Dominic Flowers III'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®

CFP^®

Certified Financial Planner

Experience

Current

July 24, 2025 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520

CRD#: 169804

Concord, CA

Past

February 13, 2017 - July 24, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

February 13, 2017 - July 24, 2025

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 8, 2014 - February 3, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CHARLOTTE, NC

Past

March 7, 2014 - February 3, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

CHARLOTTE, NC

Past

September 1, 2011 - October 10, 2013

FORKED ROAD FINANCIAL PLANNING LLC

RIA

CRD#: 157183

CHARLOTTE, NC

Past

March 20, 2009 - July 6, 2009

OPPENHEIMER & CO. INC.

CRD#: 249

CHARLOTTE, NC

Past

September 26, 2006 - March 16, 2009

STANFORD GROUP COMPANY

CRD#: 39285

CHARLOTTE, NC

Past

December 13, 1999 - July 21, 2006

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

State Registrations and Notice Filings

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

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

North Carolina
(7/24/2025)

Exams

State Security Law Exam

Series 63

Date: 3/25/2014

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: 3/7/2014

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 6/5/2002

Limited Representative-Equity Trader Exam

Principal/Supervisory Exam

Series 9

Date: 8/26/2008

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

ASSETMARK BROKERAGE, LLC

CRD#: 169804 / SEC#: , 8-69391

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Name	Position	CRD#
ASSETMARK FINANCIAL HOLDINGS, INC.	OWNER
HANSEN, CARRIE ELLEN	PRESIDENT/ MANAGING PRINCIPAL	4781315
KOVAL, JOHN HENRY	AML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO	2468284
LAMBUTH, RYAN SCOTT	CHIEF COMPLIANCE OFFICER	5382199

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.

Similar Advisors

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

NYLIFE SECURITIES LLC

BRENTWOOD, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert D. Flowers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Dominic Flowers III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

FORKED ROAD FINANCIAL PLANNING LLC

OPPENHEIMER & CO. INC.

STANFORD GROUP COMPANY

PERSHING LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/2014

SIE

Date: 10/1/2018

Series 7

Date: 3/7/2014

Series 55

Date: 6/5/2002

Series 9

Date: 8/26/2008

FINRA

Current Firm

ASSETMARK BROKERAGE, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETMARK BROKERAGE, LLC

TRUST BUT VERIFY

Similar Advisors