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MS

Melissa A. Sommer

ASSETMARK BROKERAGE
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5069169
MS

Professional summary

Melissa Ann Sommer, who also goes by Melissa Ann Gurley, Melissa Ann Stephens, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

Melissa is registered as a RR (Registered Representative) and started their career in finance in 2006. Melissa has worked at 9 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Melissa Ann Gurley | Melissa Ann Stephens

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 Melissa Ann Sommer'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

February 19, 2025 - Present

ASSETMARK BROKERAGE, LLC

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

December 18, 2023 - November 7, 2024

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
Dublin, OH
Past

July 16, 2014 - March 19, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

January 17, 2013 - July 17, 2014

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
APPLETON, WI
Past

December 3, 2010 - January 3, 2013

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

February 8, 2010 - November 29, 2010

CURIAN CLEARING, LLC

BD
CRD#: 132938
DENVER, CO
Past

February 4, 2010 - November 29, 2010

CURIAN CAPITAL, LLC

RIA
CRD#: 120270
DENVER, CO
Past

July 24, 2007 - November 17, 2009

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
GREENWOOD VILLAGE, CO
Past

June 26, 2007 - November 17, 2009

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
GREENWOOD VILLAGE, CO
Past

August 24, 2006 - June 25, 2007

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
CONSHOHOCKEN, PA
Past

January 10, 2006 - June 25, 2007

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA

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
Kentucky
(2/19/2025)
RR
Michigan
(2/19/2025)
RR
Ohio
(2/20/2025)
RR
Pennsylvania
(2/19/2025)
RR
West Virginia
(2/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/30/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/28/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/18/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/22/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/9/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/1/2014
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#: 169804Chicago, IL 60606

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