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BD

Byron J. Dolven

ASSETMARK BROKERAGE
Chicago, IL 60606
CRD#: 5869909
Some features on this profile are disabled
BD
Byron John DolvenASSETMARK BROKERAGE

Professional summary

Byron John Dolven, who also goes by Byron J Dolven, Byron Dolven, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

Byron is registered as a RR (Registered Representative) and started their career in finance in 2011. Byron has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Byron J Dolven | Byron Dolven

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 Byron John Dolven'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

June 12, 2026 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 200 W. Madison Ave. Suite 2200, Chicago, IL 60606
BD
CRD#: 169804
Chicago, IL
Past

January 3, 2017 - April 30, 2026

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

BD
CRD#: 26506
Minneapolis, MN
Past

June 22, 2015 - January 18, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Minneapolis, MN
Past

May 13, 2011 - February 14, 2013

OSAIC FA, INC.

RIA
CRD#: 3978
WAUKESHA, WI
Past

January 19, 2011 - February 14, 2013

OSAIC FA, INC.

BD
CRD#: 3978
WAUKESHA, WI

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
IAR
Series 65
Date: 3/3/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/10/2011
Uniform Securities Agent 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: 6/22/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/18/2011
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)

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#: 169804Chicago, IL 60606

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