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TT

Tony J. Tropiano

ASSETMARK BROKERAGE
Phoenix, AZ 85012-2426
Some features on this profile are disabled
CRD#: 5474284
TT

Professional summary

Tony Joseph Tropiano, who also goes by Tony J Tropiano, Tony Tropiano, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

Tony is registered as a RR (Registered Representative) and started their career in finance in 2008. Tony has worked at 4 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tony J Tropiano | Tony Tropiano

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 Tony Joseph Tropiano'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

November 8, 2019 - Present

ASSETMARK BROKERAGE, LLC

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

February 14, 2019 - June 4, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
PHOENIX, AZ
Past

April 6, 2015 - November 15, 2016

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
PHOENIX, AZ
Past

October 1, 2012 - January 7, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SCOTTSDALE, AZ
Past

March 6, 2008 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SCOTTSDALE, AZ

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
Arizona
(11/12/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/13/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/15/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/5/2008
Investment Company Products/Variable Contracts Representative 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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