Josesph W. Fiori

ASSETMARK

Austin, TX

Some features on this profile are disabled

CRD#: 5910224

Professional summary

Josesph Walter Fiori, CIMA®, who also goes by Joe Fiori, Joseph W Fiori, Joseph Walter Fiori, Joseph Fiori, is a registered financial advisor currently at ASSETMARK, INC. located in Austin, Texas and ASSETMARK BROKERAGE, LLC located in Concord, California.

Josesph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Josesph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Fiori | Joseph W Fiori | Joseph Walter Fiori | Joseph Fiori

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 01/2024 - 160 HRS / MONTHLY - REGIONAL CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD, CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED THE BLADING, LLC - NOT INVESTMENT-RELATED - CLARNDON HILLS, IL - REAL ESTATE - PARTIAL OWNER - START DATE 11/2023 - 0 HRS/ MO - INVESTMENT PROPERTIES TO BUY, FIX, FLIP

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josesph Walter Fiori'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 6, 2024 - Present

ASSETMARK, INC.

RIA

CRD#: 109018

Austin, TX

Current

March 15, 2024 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520

CRD#: 169804

Concord, CA

Past

June 20, 2023 - November 7, 2023

HEDGECO SECURITIES, LLC

CRD#: 142498

WEST PALM BEACH, FL

Past

May 19, 2022 - March 7, 2023

ALTRUIST FINANCIAL LLC

CRD#: 299274

CULVER CITY, CA

Past

August 15, 2014 - May 3, 2022

ASSETMARK BROKERAGE, LLC

CRD#: 169804

Chicago, IL

Past

May 28, 2014 - May 3, 2022

ASSETMARK, INC.

RIA

CRD#: 109018

Chicago, IL

Past

April 1, 2014 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 11, 2011 - April 27, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

NAPERVILLE, IL

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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Oklahoma
(3/15/2024)

Texas
(3/15/2024)

IAR

Texas
(7/8/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/10/2011

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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

Josesph W. Fiori

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josesph Walter Fiori's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

HEDGECO SECURITIES, LLC

ALTRUIST FINANCIAL LLC

ASSETMARK BROKERAGE, LLC

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2014

Series 63

Date: 5/20/2011

SIE

Date: 10/1/2018

Series 7

Date: 12/21/2017

Series 6

Date: 5/10/2011

FINRA

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