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SM

Shana M. Martin

ASSETMARK BROKERAGE
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6293540
SM
Shana Marie MartinASSETMARK BROKERAGE

Professional summary

Shana Marie Martin, who also goes by Shana M Martin, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.

Shana is registered as a RR (Registered Representative) and started their career in finance in 2014. Shana has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Shana M Martin

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 Shana Marie Martin'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

July 28, 2026 - Present

ASSETMARK BROKERAGE, LLC

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

November 30, 2020 - July 31, 2025

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

December 20, 2018 - November 6, 2020

INVESCO ADVISERS, INC.

RIA
CRD#: 105360
DOWNERS GROVE, IL
Past

December 20, 2018 - November 6, 2020

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
DOWNERS GROVE, IL
Past

September 29, 2016 - November 29, 2018

NATIONWIDE FUND DISTRIBUTORS LLC

BD
CRD#: 25910
Columbus, OH
Past

February 11, 2014 - September 23, 2016

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Illinois
(7/28/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/18/2014
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: 2/24/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/4/2014
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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