Sean D. Spellman
Professional summary
Sean David Spellman is a registered financial advisor currently at ASSETMARK, INC. located in Haddon Township, New Jersey and ASSETMARK BROKERAGE, LLC located in Indian Shores, Florida.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Sean has worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sean David Spellman's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2026 - Present
ASSETMARK, INC.
March 20, 2026 - Present
ASSETMARK BROKERAGE, LLC
November 8, 2023 - September 19, 2024
MML INVESTORS SERVICES, LLC
October 25, 2023 - September 19, 2024
MML INVESTORS SERVICES, LLC
June 1, 2022 - February 7, 2023
PERSHING ADVISOR SOLUTIONS LLC
September 13, 2021 - February 7, 2023
BNY ADVISORS
April 22, 2016 - September 10, 2021
BNY ADVISORS
April 22, 2016 - February 7, 2023
PERSHING LLC
August 21, 2014 - November 3, 2015
SEI INVESTMENTS MANAGEMENT CORP
August 21, 2014 - November 3, 2015
SEI INVESTMENTS DISTRIBUTION CO.
August 24, 2007 - September 5, 2013
WALNUT STREET SECURITIES, INC.
August 24, 2007 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
August 24, 2007 - July 17, 2014
NEW ENGLAND SECURITIES
August 24, 2007 - July 17, 2014
MSI FINANCIAL SERVICES, INC.
June 22, 2007 - September 6, 2013
WALNUT STREET SECURITIES, INC.
June 22, 2007 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
June 22, 2007 - July 17, 2014
NEW ENGLAND SECURITIES
June 22, 2007 - July 17, 2014
MSI FINANCIAL SERVICES, INC.
May 16, 2005 - May 4, 2007
PNC WEALTH MANAGEMENT LLC
October 25, 2004 - May 4, 2007
PNC WEALTH MANAGEMENT LLC
November 25, 2002 - October 15, 2004
ESSEX NATIONAL SECURITIES, LLC
October 1, 2000 - October 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 24, 2000 - June 6, 2000
IDS LIFE INSURANCE COMPANY
February 24, 2000 - June 6, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
(3/20/2026)
(3/26/2026)
Exams
FINRA
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.
