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BH

Bridget A. Haling

Some features on this profile are disabled
CRD#: 5498240
BH

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.

Bridget A Haling, who also goes by Bridget Ann Haling, Bridget Ann Hollis, Bridget Ann King, was a registered financial professional .

Bridget is a previously registered financial professional and started their career in finance in 2010. Bridget had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bridget Ann Haling | Bridget Ann Hollis | Bridget Ann King

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.
ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 09/2021 - 160 HRS / MONTHLY, GOLD RELATIONSHIP MANAGER OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 1, 2022 - January 21, 2025

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
CONCORD, CA
Past

December 21, 2021 - January 21, 2025

ASSETMARK, INC.

RIA
CRD#: 109018
Doyline, LA
Past

October 3, 2017 - May 4, 2021

BFC PLANNING, INC.

RIA
CRD#: 119682
Sherevport, LA
Past

October 3, 2017 - May 4, 2021

SECURITIES MANAGEMENT & RESEARCH, INC.

BD
CRD#: 759
Shreveport, LA
Past

May 30, 2013 - August 22, 2017

MORGAN STANLEY

RIA
CRD#: 149777
SHREVEPORT, LA
Past

May 30, 2013 - August 22, 2017

MORGAN STANLEY

BD
CRD#: 149777
SHREVEPORT, LA
Past

October 1, 2012 - May 2, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
SHREVEPORT, LA
Past

October 1, 2012 - May 2, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
SHREVEPORT, LA
Past

August 13, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
SHREVEPORT, LA
Past

August 7, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SHREVEPORT, LA
Past

January 4, 2012 - July 6, 2012

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
METAIRIE, LA
Past

July 13, 2010 - June 9, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MAGNOLIA, AR
Past

May 5, 2010 - June 9, 2011

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MAGNOLIA, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/16/2010
Uniform Combined 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: 5/4/2010
General Securities Representative Examination

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#: 169804

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