Vincent S. Lewis

ASSETMARK

CONCORD, CA 94520-2445

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CRD#: 4294416

Professional summary

Vincent Scott Lewis, CFP® is a registered financial advisor currently at ASSETMARK, INC. located in Concord, California and ASSETMARK BROKERAGE, LLC located in Concord, California.

Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Vincent has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

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.

1) ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 08/2014 - 160 HRS / MONTHLY - FINANCIAL PLANNER OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE - INVESTMENT RELATED 2) NAPA VALLEY UMPIRE ASSOCIATION - BASEBALL UMPIRE, OFFICIATE BASEBALL GAMES - NOT INVESTMENT-RELATED, IN BENICIA, CA - STARTED: 03/2006 - 10 HOURS PER MONTH - 0 HOURS DURING SECURITIES TRADING HOURS 3) CRU SPORTS - LAW SERVICES - CFO - NOT INVESTMENT RELATED - IN BENICIA, CA - ANALYZE THE FINANCIAL POSITION OF THE AGENCY, RECORD KEEPING, AND BUDGETING - START DATE 6/1/2022- 12 HRS/MO; NONE DURING TRADING HOURS 4) HALL RUTHERFORD - NOT INVESTMENT RELATED - IN RUTHERFORD, CA - NATURE: WINERY - POSITION: BACKSTAFF - START DATE 7/2023 - APPROXIMATE 24HRS/ MONTH TO OTHER BUSINESS - 0 HOURS DURING SECURITY TRADING HOURS - DUTIES INCLUDE SETTING TOUR TASTING ROOM, PREPARING FOOD ACCOMPANIMENT, WASHING AND POLISHING GLASSWARE, STOCKING WINE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Scott Lewis'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®

CFP^®

Certified Financial Planner

Experience

Current

September 22, 2026 - Present

ASSETMARK, INC.

Office #1: 1655 Grant Street 10th Floor, Concord, CA 94520-2445

RIA

CRD#: 109018

CONCORD, CA

Current

September 22, 2026 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520

CRD#: 169804

CONCORD, CA

Past

February 13, 2024 - September 14, 2026

ADHESION WEALTH ADVISOR SOLUTIONS

RIA

CRD#: 143593

Concord, CA

Past

August 15, 2014 - January 30, 2024

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

December 4, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 21, 2011 - January 30, 2024

ASSETMARK, INC.

RIA

CRD#: 109018

CONCORD, CA

Past

October 18, 2011 - November 19, 2013

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

November 19, 2009 - December 18, 2009

MCNALLY FINANCIAL SERVICES CORPORATION

RIA

CRD#: 121196

RANCHO CUCAMONGA, CA

Past

November 18, 2009 - December 18, 2009

MCNALLY FINANCIAL SERVICES CORPORATION

CRD#: 121196

SAN ANTONIO, TX

Past

January 16, 2009 - September 30, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

DIAMOND BAR, CA

Past

December 11, 2000 - September 30, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

DIAMOND BAR, CA

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".

ASSETMARK, INC.

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.

Highlighted states indicate IAR registrations

IAR

California
(9/22/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

IAR

Series 65

Status Unavailable

Passed: 6/5/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 11/11/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 12/10/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 12/8/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Status Unavailable

Passed: 7/16/2002

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

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

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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

859

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSETMARK, INC. PART 2A (9/14/2026)

REFERRAL DISCLOSURE BROCHURE (9/14/2026)

PLATFORM DISCLOSURE BROCHURE (9/14/2026)

EA LIMITED OFFERING DISCLOSURE BROCHURE (9/14/2026)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (9/14/2026)

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (9/14/2026)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (9/14/2026)

EFFICIENT EDGE DISCLOSURE BROCHURE (9/14/2026)

Regulatory assets under management

Total Number of Accounts	456,453
AUM (Assets Under Management)	$ 91,760,148,020

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form 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.

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Advisor Monitoring

Firm Stability Insights

Vincent S. Lewis

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Scott Lewis's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

ADHESION WEALTH ADVISOR SOLUTIONS

ASSETMARK BROKERAGE, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

MCNALLY FINANCIAL SERVICES CORPORATION

MCNALLY FINANCIAL SERVICES CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Passed: 6/5/2008

Series 63

Passed: 11/11/2000

SIE

Passed: 10/1/2018

Series 7

Passed: 12/10/2015

Series 6

Passed: 12/8/2000

Series 26

Passed: 7/16/2002

FINRA

Current Firm

ASSETMARK, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSETMARK, INC.

TRUST BUT VERIFY

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