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YB

Yvette Brown

ASSETMARK BROKERAGE
Concord, CA 94520
Some features on this profile are disabled
CRD#: 6877538
YB

Professional summary

Yvette Brown is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Concord, California.

Yvette is registered as a RR (Registered Representative) and started their career in finance in 2017. Yvette has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Yvette Brown'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

December 23, 2025 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520
BD
CRD#: 169804
Concord, CA
Past

March 4, 2022 - December 1, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
Charlotte, NC
Past

March 2, 2022 - December 1, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

August 10, 2021 - October 5, 2021

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
CHARLOTTE, NC
Past

August 8, 2018 - April 2, 2020

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA
CRD#: 110921
SECAUCUS, NJ
Past

December 20, 2017 - March 26, 2018

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA
CRD#: 110921
SECAUCUS, NJ

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
North Carolina
(12/23/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/4/2017
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/10/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/5/2022
General Securities Principal 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)

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#: 169804Concord, CA 94520

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