Lisa Wang
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.
Lisa Wang, who also goes by Lisa Jiwon Hwang, Lisa Hwang Wang, was a registered financial professional .
Lisa is a previously registered financial professional and started their career in finance in 2020. Lisa had worked at 2 firms and has passed the Series 99TO, Series 7TO, SIE and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2026 - September 15, 2026
ASSETMARK BROKERAGE, LLC
February 3, 2020 - November 29, 2025
CHARLES SCHWAB & CO., INC.
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
What does exam status mean?
Series 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 7TO
Passed: 2/3/2020
General Securities Representative ExaminationCurrent Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSETMARK FINANCIAL HOLDINGS, INC. | OWNER | |
| DIEDENHOFEN, JENNIFER MICHELLE | AML COMPLIANCE OFFICER | 8223655 |
| EPSTEIN, ANDREW ROSS | DIRECTOR, PRODUCT DUE DILIGENCE | 1028884 |
| HANSEN, CARRIE ELLEN | PRESIDENT/ MANAGING PRINCIPAL | 4781315 |
| KOVAL, JOHN HENRY | CFO/ FINOP/ PFO/ POO | 2468284 |
| LAMBUTH, RYAN SCOTT | CHIEF COMPLIANCE OFFICER | 5382199 |
Red Flags
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