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Michael Cicotello

ASSETMARK BROKERAGE
Phoenix, AZ 85012-2426
Some features on this profile are disabled
CRD#: 4854475
MC

Professional summary

Michael Cicotello, who also goes by Mike Cicotello, is a registered financial advisor currently at ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Cicotello

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 Michael Cicotello'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

December 23, 2025 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 3200 N. Central Avenue 7th Floor, Phoenix, AZ 85012-2426
BD
CRD#: 169804
Phoenix, AZ
Past

December 4, 2023 - December 12, 2025

ENCOMPASS MORE INVESTMENTS, LLC

BD
CRD#: 318438
DANVILLE, CA
Past

July 15, 2021 - December 31, 2021

INTEGRITY CAPITAL, LLC

BD
CRD#: 285198
SCOTTSDALE, AZ
Past

March 11, 2014 - May 6, 2021

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

April 18, 2008 - January 28, 2014

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
DENVER, CO
Past

July 24, 2006 - January 28, 2014

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
DENVER, CO
Past

July 7, 2006 - July 12, 2006

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

February 21, 2005 - December 31, 2005

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA

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
Alabama
(1/6/2026)
RR
Arizona
(12/23/2025)
RR
Georgia
(1/6/2026)
RR
Mississippi
(1/15/2026)
RR
South Carolina
(1/7/2026)
RR
Tennessee
(1/9/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/17/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/2006
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: 4/18/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/18/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/5/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 2/21/2017
Investment Company Products/Variable Contracts Principal 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#: 169804Phoenix, AZ 85012-2426

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