Heidi E. Wallace

ASSETMARK

Sandy Springs, GA 30338

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CRD#: 6183699

Professional summary

Heidi Elise Wallace, who also goes by Heidi Elise Johnson, is a registered financial advisor currently at ASSETMARK, INC. located in Sandy Springs, Georgia and ASSETMARK BROKERAGE, LLC located in Concord, California.

Heidi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Heidi has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Heidi Elise Johnson

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 09/2018 - 160 HRS / MONTHLY, SENIOR BUSINESS SYSTEMS ANALYST OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi Elise Wallace'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

December 5, 2018 - Present

ASSETMARK, INC.

Office #1: 1155 Perimeter Center W Suite 800, Sandy Springs, GA 30338

RIA

CRD#: 109018

Sandy Springs, GA

Current

November 26, 2018 - Present

ASSETMARK BROKERAGE, LLC

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

CRD#: 169804

Concord, CA

Past

October 23, 2015 - September 17, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ATLANTA, GA

Past

October 23, 2015 - September 17, 2018

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ATLANTA, GA

Past

October 23, 2015 - September 17, 2018

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

ATLANTA, GA

Past

October 23, 2015 - September 17, 2018

CETERA ADVISORS LLC

CRD#: 10299

ATLANTA, GA

Past

October 20, 2015 - September 17, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ATLANTA, GA

Past

May 21, 2014 - October 28, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

January 23, 2014 - October 28, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

ATLANTA, GA

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

Georgia
(11/26/2018)

IAR

Georgia
(12/5/2018)

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

Series 63

Date: 6/30/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/19/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASSETMARK, INC.

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 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.

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Firm Stability Insights

Heidi E. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Heidi Elise Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK BROKERAGE, LLC

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

J.P. TURNER & COMPANY, L.L.C.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/2014

Series 65

Date: 12/19/2013

SIE

Date: 9/17/2018

Series 7

Date: 5/21/2014

Series 24

Date: 4/28/2015

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

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