AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KS

Kaitlen J. Shearer

ASSETMARK BROKERAGE
Phoenix, AZ 85012-2426
Some features on this profile are disabled
CRD#: 6441642
KS

Professional summary

Kaitlen Joy Shearer, who also goes by Kaitlen Shearer, Kaitlen Timmers, is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

Kaitlen is registered as a RR (Registered Representative) and started their career in finance in 2015. Kaitlen has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kaitlen Shearer | Kaitlen Timmers

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 Kaitlen Joy Shearer'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

September 12, 2022 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 3200 N. Central Avenue 7th Floor, Phoenix, AZ 85012-2426
BD
CRD#: 169804
Phoenix, AZ
Past

December 16, 2016 - November 22, 2021

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
Phoenix, AZ
Past

March 12, 2015 - September 8, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
SCOTTSDALE, AZ

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
Arizona
(9/15/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/2015
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 6
Date: 3/12/2015
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)
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
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 169804Phoenix, AZ 85012-2426

TRUST BUT VERIFY

Monitor Kaitlen Shearer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Joseph A Di Vito JR
Joseph Di VitoAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
IAR
RR
Scottsdale, AZ
Luke Kacer
Luke KacerAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Tucson, AZ
Timothy Christopher Hughes
Timothy HughesAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Scottsdale, AZ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics