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DT

David A. Tisza

ASSETMARK BROKERAGE
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4202847
DT

Professional summary

David Anthony Tisza, who also goes by David Anthony Tisza, David Tisza, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 8 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Anthony Tisza | David Tisza

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 David Anthony Tisza'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

January 23, 2026 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 200 W. Madison Ave. Suite 2200, Chicago, IL 60606
BD
CRD#: 169804
Chicago, IL
Past

August 5, 2025 - October 10, 2025

MIT ASSOCIATES, LLC

BD
CRD#: 121171
TIBURON, CA
Past

March 14, 2014 - January 2, 2019

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
ROSCOE, IL
Past

June 11, 2008 - January 2, 2019

AW SECURITIES

RIA
CRD#: 103747
ROSCOE, IL
Past

January 2, 2008 - January 2, 2019

AW SECURITIES

BD
CRD#: 103747
OAK BROOK, IL
Past

August 17, 2006 - July 2, 2012

ALLWORTH FINANCIAL, L.P.

RIA
CRD#: 111167
SACRAMENTO, CA
Past

July 12, 2006 - December 31, 2007

SECURITIES AMERICA, INC.

BD
CRD#: 10205
OAK BROOK, IL
Past

August 10, 2005 - June 14, 2006

AW SECURITIES

BD
CRD#: 103747
FOLSOM, CA
Past

June 12, 2003 - June 1, 2005

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

June 20, 2002 - May 23, 2003

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
NAPERVILLE, IL
Past

April 5, 2002 - May 23, 2003

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

July 13, 2000 - April 8, 2002

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

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
Illinois
(1/23/2026)
RR
Maine
(2/5/2026)
RR
Massachusetts
(2/5/2026)
RR
New Hampshire
(2/5/2026)
RR
Vermont
(2/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 9/8/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/29/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/12/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/5/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/30/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/24/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/12/2000
Investment Company Products/Variable Contracts 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)
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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#: 169804Chicago, IL 60606

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