Godman Tan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Godman Tan, CFP®, who also goes by Godman Tan, was a registered financial professional .
Godman is a previously registered financial professional and started their career in finance in 2006. Godman had worked at 13 firms and has passed the Series 66, Series 6TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2010
Experience
June 6, 2024 - July 30, 2024
ASSETMARK, INC.
May 29, 2024 - July 30, 2024
ASSETMARK BROKERAGE, LLC
February 20, 2020 - January 7, 2021
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
February 20, 2020 - January 7, 2021
FIRST REPUBLIC SECURITIES COMPANY, LLC
December 9, 2019 - February 13, 2020
J.P. MORGAN SECURITIES LLC
December 9, 2019 - February 13, 2020
J.P. MORGAN SECURITIES LLC
December 4, 2018 - August 5, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 29, 2018 - August 2, 2019
FIDELITY BROKERAGE SERVICES LLC
August 13, 2018 - October 24, 2018
STATE FARM INVESTMENT MANAGEMENT CORP.
June 25, 2015 - October 24, 2018
STATE FARM VP MANAGEMENT CORP.
February 10, 2015 - April 6, 2015
RETIREMENT PLANNERS OF AMERICA
March 12, 2012 - February 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 12, 2012 - February 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2008 - March 21, 2011
UBS FINANCIAL SERVICES INC.
January 7, 2008 - March 21, 2011
UBS FINANCIAL SERVICES INC.
March 7, 2006 - September 4, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2006 - September 4, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/22/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 7/10/2023
General Securities Representative ExaminationCurrent Firm
ASSETMARK, INC.
CRD#: 109018 / SEC#: 801-56323
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
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 | ||
| 12/19/2024 | ||
| 08/23/2024 | ||
| 12/06/2023 |
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.
