Shafton W. Hewett
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.
Shafton Wayne Hewett JR, CFP®, who also goes by Shafton Wayne Hewett, Wayne Hewett, was a registered financial professional .
Shafton is a previously registered financial professional and started their career in finance in 2007. Shafton had worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2019 - May 6, 2025
ASSETMARK, INC.
October 21, 2019 - May 6, 2025
ASSETMARK BROKERAGE, LLC
August 3, 2017 - October 4, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 17, 2017 - October 4, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 8, 2015 - December 31, 2016
STATE FARM VP MANAGEMENT CORP.
November 13, 2013 - November 24, 2014
J.P. MORGAN SECURITIES LLC
November 8, 2013 - November 24, 2014
J.P. MORGAN SECURITIES LLC
September 30, 2011 - November 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2011 - November 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2011 - September 7, 2011
ALIGHT FINANCIAL SOLUTIONS, LLC
January 1, 2008 - May 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 19, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
November 5, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
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
Current 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.
