Miles Nolen

Some features on this profile are disabled

CRD#: 5536511

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.

Miles Nolen, AIF®, who also goes by Miles Jeffery Nolen, was a registered financial professional .

Miles is a previously registered financial professional and started their career in finance in 2009. Miles had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Miles Jeffery Nolen

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 02/2021 - 160 HRS / MONTHLY, REGIONAL RETIREMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. Centsible Accounts- Start Date 4/1/2019- Accounting and consulting services offered to small businesses through QuickBooks- Consultant- 12 Hours/Month

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®

AIF^®

Accredited Investment Fiduciary

Experience

Past

September 16, 2021 - January 21, 2025

ASSETMARK, INC.

RIA

CRD#: 109018

Irvine, CA

Past

September 15, 2021 - January 21, 2025

ASSETMARK BROKERAGE, LLC

CRD#: 169804

CONCORD, CA

Past

July 10, 2019 - February 8, 2021

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

GREENWOOD VILLAGE, CO

Past

July 10, 2019 - February 8, 2021

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

March 21, 2018 - April 5, 2019

ROBUSTWEALTH, INC.

RIA

CRD#: 269919

LAMBERTVILLE, NJ

Past

July 9, 2014 - February 27, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

July 9, 2014 - February 27, 2018

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

January 10, 2014 - May 22, 2014

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

June 14, 2013 - December 17, 2013

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

ST. PAUL, MN

Past

January 1, 2009 - May 28, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

BLOOMFIELD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/10/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/27/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/29/2008

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ASSETMARK, INC.

CRD#: 109018 / SEC#: 801-56323

RIA

Registered Investment Advisory firm - (3/8/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA 94520-2445

Mailing Address

Phone number

(800) 664-5345

Established

Firm type

Fiscal year end

# of Employees

735

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (11/17/2025)

REFERRAL DISCLOSURE BROCHURE (11/17/2025)

PLATFORM DISCLOSURE BROCHURE (11/17/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (11/17/2025)

ASSETMARK, INC. PART 2A (11/17/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (3/26/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (3/26/2025)

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	Cover Page	Report
12/19/2024	Cover Page	Report
08/23/2024	Cover Page	Report
12/06/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Miles Nolen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

ROBUSTWEALTH, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MISSIONSQUARE INVESTMENT SERVICES

TRANSAMERICA INVESTORS SECURITIES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/10/2014

Series 63

Date: 1/27/2009

SIE

Date: 2/27/2018

Series 7

Date: 2/7/2011

Series 6

Date: 12/29/2008

Current Firm

ASSETMARK, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASSETMARK, INC.

TRUST BUT VERIFY

Similar Advisors