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DT

David A. Tisza

ASSETMARK
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 advisor currently at ASSETMARK, INC. located in Chicago, Illinois and ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. David has worked at 9 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view David Anthony Tisza's CRS (Customer Relationship Summary).
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

April 30, 2026 - Present

ASSETMARK, INC.

Office #1: 200 W. Madison Ave. Suite 2200, Chicago, IL 60606
RIA
CRD#: 109018
Chicago, IL
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

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AI
ASSETMARK, INC.
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES

CRD#: 109018 / SEC#: 801-56323

RIA
Registered Investment Advisory firm - (3/8/1999 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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)
IAR
Illinois
(4/30/2026)
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
IAR
Series 65
Date: 4/30/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/2025
Uniform Securities Agent State 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

AI
ASSETMARK, INC.
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES

CRD#: 109018 / SEC#: 801-56323

RIA
Registered Investment Advisory firm - (3/8/1999 Approved)
PREMIUM
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Contact information

Main Address
1655 Grant Street 10th Floor, Concord, CA 94520-2445
Mailing Address
Phone number
(800) 664-5345
Established
Firm type
Fiscal year end
# of Employees
735

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ASSETMARK, INC. PART 2A (12/15/2025)
REFERRAL DISCLOSURE BROCHURE (12/15/2025)
PLATFORM DISCLOSURE BROCHURE (12/15/2025)
BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (12/15/2025)
EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (12/15/2025)
ASSETMARK RETIREMENT DISCLOSURE BROCHURE (12/15/2025)
EFFICIENT EDGE DISCLOSURE BROCHURE (12/15/2025)

Regulatory assets under management

Total Number of Accounts410,749
AUM (Assets Under Management)$ 77,412,781,198

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/29/2025
Cover Page
Report
12/19/2024
Cover Page
Report
08/23/2024
Cover Page
Report
12/06/2023
Cover Page
Report

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, INC.

CRD#: 109018Chicago, IL 60606

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