Yvette Brown

ASSETMARK

Charlotte, NC 28209

Some features on this profile are disabled

CRD#: 6877538

Professional summary

Yvette Brown is a registered financial advisor currently at ASSETMARK, INC. located in Charlotte, North Carolina and ASSETMARK BROKERAGE, LLC located in Concord, California.

Yvette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Yvette has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Yvette Brown'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

April 1, 2026 - Present

ASSETMARK, INC.

Office #1: 2825 South Blvd Suite 500, Charlotte, NC 28209

RIA

CRD#: 109018

Charlotte, NC

Current

December 23, 2025 - Present

ASSETMARK BROKERAGE, LLC

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

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

CRD#: 2881

MILWAUKEE, WI

Past

August 10, 2021 - October 5, 2021

UBS FINANCIAL SERVICES INC.

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

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

North Carolina
(12/23/2025)

IAR

North Carolina
(4/1/2026)

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: 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

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 8/10/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/2/2021

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/2022

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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, INC. PART 2A (12/15/2025)

REFERRAL DISCLOSURE BROCHURE (12/15/2025)

PLATFORM DISCLOSURE BROCHURE (12/15/2025)

BANK AND TRUST COMPANY PLATFORM DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE RETIREREADY DISCLOSURE BROCHURE (12/15/2025)

ASSETMARK RETIREMENT DISCLOSURE BROCHURE (12/15/2025)

EFFICIENT EDGE DISCLOSURE BROCHURE (12/15/2025)

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

David Thompson

SPARTA WEALTH PARTNERS

IAR

CHARLOTTE, NC

Andrew Digirolamo

PFS INVESTMENTS INC.

DULUTH, GA

Jon Hoyle

ZERO DAY CAPITAL ENTERPRISES LLC

WEST POINT, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Yvette Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yvette Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASSETMARK, INC.

ASSETMARK BROKERAGE, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

UBS FINANCIAL SERVICES INC.

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP

Primary Firm SEC Registration

ASSETMARK, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/27/2021

Series 65

Date: 12/4/2017

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 8/10/2021

SIE

Date: 7/2/2021

Series 24

Date: 11/5/2022

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