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KP

Kevin L. Pollard

ASSETMARK
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 5706334
KP

Professional summary

Kevin Lee Pollard, who also goes by Kevin Pollard, is a registered financial advisor currently at ASSETMARK, INC. located in Charlotte, North Carolina and ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Kevin has worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kevin Pollard

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) - RIA

Click below to view Kevin Lee Pollard's CRS (Customer Relationship Summary).
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

May 18, 2026 - Present

ASSETMARK, INC.

Office #1: 2825 South Blvd Suite 500, Charlotte, NC 28209
RIA
CRD#: 109018
Charlotte, NC
Current

May 15, 2026 - Present

ASSETMARK BROKERAGE, LLC

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

December 18, 2023 - May 14, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

April 25, 2017 - May 14, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

April 26, 2016 - March 27, 2017

KINGFISHER CAPITAL, LLC

RIA
CRD#: 150484
CHARLOTTE, NC
Past

December 8, 2009 - May 25, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHARLOTTE, NC

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".
AI
ASSETMARK, INC.
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES

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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
North Carolina
(5/18/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/26/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/19/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/18/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/30/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ASSETMARK, INC.
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES

CRD#: 109018 / SEC#: 801-56323

RIA
Registered Investment Advisory firm - (3/8/1999 Approved)
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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, INC. PART 2A (12/15/2025)
REFERRAL DISCLOSURE BROCHURE (12/15/2025)
PLATFORM DISCLOSURE BROCHURE (12/15/2025)
BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (12/15/2025)
EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (12/15/2025)
ASSETMARK RETIREMENT DISCLOSURE BROCHURE (12/15/2025)
EFFICIENT EDGE DISCLOSURE BROCHURE (12/15/2025)

Regulatory assets under management

Total Number of Accounts410,749
AUM (Assets Under Management)$ 77,412,781,198

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

ASSETMARK, INC.

CRD#: 109018Charlotte, NC 28209

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