Derek R. Zachmann
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.
Derek Ryan Zachmann was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 2000. Derek had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2015 - September 3, 2026
ASSETMARK BROKERAGE, LLC
January 21, 2010 - January 5, 2013
CURIAN CLEARING, LLC
January 10, 2006 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 21, 2005 - December 31, 2005
INVESTMENT CENTERS OF AMERICA, INC.
February 21, 2005 - January 11, 2013
CURIAN CAPITAL, LLC
October 20, 2004 - December 31, 2005
INVESTMENT CENTERS OF AMERICA, INC.
September 7, 2001 - November 1, 2002
BERGER DISTRIBUTORS LLC
August 1, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
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
What does exam status mean?
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSETMARK FINANCIAL HOLDINGS, INC. | OWNER | |
| DIEDENHOFEN, JENNIFER MICHELLE | AML COMPLIANCE OFFICER | 8223655 |
| EPSTEIN, ANDREW ROSS | DIRECTOR, PRODUCT DUE DILIGENCE | 1028884 |
| HANSEN, CARRIE ELLEN | PRESIDENT/ MANAGING PRINCIPAL | 4781315 |
| KOVAL, JOHN HENRY | 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.
