Erin K. Wood

ASSETMARK

Charlotte, NC 28209

Some features on this profile are disabled

CRD#: 4701048

Professional summary

Erin Kay Wood, CFP®, who also goes by Erin Kay Brown, Erin Kay Mowery, is a registered financial advisor currently at ASSETMARK, INC. located in Charlotte, North Carolina.

Erin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Erin has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erin Kay Brown | Erin Kay Mowery

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 Erin Kay Wood'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

Start date: 2009

Experience

Current

December 23, 2024 - Present

ASSETMARK, INC.

Office #1: 2825 South Blvd. Suite 500, Charlotte, NC 28209

RIA

CRD#: 109018

Charlotte, NC

Past

August 23, 2018 - November 22, 2024

CWM, LLC

RIA

CRD#: 155344

OMAHA, NE

Past

June 18, 2015 - June 7, 2018

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

OMAHA, NE

Past

June 17, 2015 - June 7, 2018

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

OMAHA, NE

Past

June 19, 2012 - June 18, 2015

FIRST NATIONAL CAPITAL MARKETS

RIA

CRD#: 115920

OMAHA, NE

Past

June 19, 2012 - June 18, 2015

FIRST NATIONAL CAPITAL MARKETS

CRD#: 115920

OMAHA, NE

Past

July 30, 2010 - May 31, 2012

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

July 30, 2010 - May 31, 2012

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

July 26, 2010 - May 31, 2012

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

November 11, 2003 - July 9, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

ELM GROVE, WI

Past

October 13, 2003 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 13, 2003 - July 9, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ELM GROVE, WI

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

North Carolina
(8/14/2025)

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

State Security Law Exam

IAR

Series 66

Date: 11/10/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/2003

General Securities Representative Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

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

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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)

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 Accounts	410,749
AUM (Assets Under Management)	$ 77,412,781,198

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.

Similar Advisors

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

John Sanders

PORTUS WEALTH ADVISORS, LLC

IAR

CHARLOTTE, NC

Jessica Williams

VANGUARD ADVISERS, INC.

IAR

CHARLOTTE, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Erin K. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Kay Wood's CRS (Customer Relationship Summary).

Certified licenses

Experience

CWM, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIRST NATIONAL CAPITAL MARKETS

FIRST NATIONAL CAPITAL MARKETS

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2003

SIE

Date: 6/7/2018

Series 7

Date: 10/10/2003

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

Similar Advisors