AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SS

Sean D. Spellman

ASSETMARK BROKERAGE
Indian Shores, FL
Some features on this profile are disabled
CRD#: 4084928
SS

Professional summary

Sean David Spellman is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Indian Shores, Florida.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Sean David Spellman'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®
None

Experience

Current

March 20, 2026 - Present

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
Indian Shores, FL
Past

November 8, 2023 - September 19, 2024

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
New York, NY
Past

October 25, 2023 - September 19, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
New York, NY
Past

June 1, 2022 - February 7, 2023

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ
Past

September 13, 2021 - February 7, 2023

BNY ADVISORS

RIA
CRD#: 106108
PENNINGTON, NJ
Past

April 22, 2016 - September 10, 2021

BNY ADVISORS

RIA
CRD#: 106108
PENNINGTON, NJ
Past

April 22, 2016 - February 7, 2023

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

August 21, 2014 - November 3, 2015

SEI INVESTMENTS MANAGEMENT CORP

RIA
CRD#: 105146
OAKS, PA
Past

August 21, 2014 - November 3, 2015

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA
Past

August 24, 2007 - September 5, 2013

WALNUT STREET SECURITIES, INC.

RIA
CRD#: 15840
SOMERSET, NJ
Past

August 24, 2007 - September 5, 2013

TOWER SQUARE SECURITIES, INC.

RIA
CRD#: 833
SOMERSET, NJ
Past

August 24, 2007 - July 17, 2014

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SOMERSET, NJ
Past

August 24, 2007 - July 17, 2014

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
SOMERSET, NJ
Past

June 22, 2007 - September 6, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
SOMERSET, NJ
Past

June 22, 2007 - September 6, 2013

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
SOMERSET, NJ
Past

June 22, 2007 - July 17, 2014

NEW ENGLAND SECURITIES

BD
CRD#: 615
SOMERSET, NJ
Past

June 22, 2007 - July 17, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SOMERSET, NJ
Past

May 16, 2005 - May 4, 2007

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
HADDONFIELD, NJ
Past

October 25, 2004 - May 4, 2007

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
HADDONFIELD, NJ
Past

November 25, 2002 - October 15, 2004

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

October 1, 2000 - October 2, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

July 19, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

February 24, 2000 - June 6, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 24, 2000 - June 6, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(3/20/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/13/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/20/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ASSETMARK BROKERAGE, LLC
ASSETMARK BROKERAGE, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASSETMARK FINANCIAL HOLDINGS, INC.OWNER
HANSEN, CARRIE ELLENPRESIDENT/ MANAGING PRINCIPAL4781315
KOVAL, JOHN HENRYAML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO2468284
LAMBUTH, RYAN SCOTTCHIEF COMPLIANCE OFFICER5382199

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.

Company Information

ASSETMARK BROKERAGE, LLC

CRD#: 169804Indian Shores, FL

TRUST BUT VERIFY

Monitor Sean Spellman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Shad Roundy
Shad RoundyAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
TRACY, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.