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NP

Norman K. Pia

ASSETMARK
VENTURA, CA
Some features on this profile are disabled
CRD#: 4653455
NP

Professional summary

Norman Kang Pia is a registered financial advisor currently at ASSETMARK, INC. located in Ventura, California and ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Norman has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Kang Pia'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

February 15, 2010 - Present

ASSETMARK, INC.

RIA
CRD#: 109018
VENTURA, CA
Current

August 15, 2014 - Present

ASSETMARK BROKERAGE, LLC

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

December 3, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

October 20, 2009 - November 20, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
CONCORD, CA
Past

March 3, 2004 - April 15, 2009

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
SANTA BARBARA, CA
Past

September 10, 2003 - December 19, 2003

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
CARPINTERIA, 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".
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

IAR
California
(2/15/2010)
RR
California
(8/15/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/11/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/16/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/8/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/14/2013
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/20/2006
General Securities Principal 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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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 109018Ventura, CA

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