RL
Robert A. Lima
ASSETMARK
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 7264955
RL
Professional summary
Robert Anthony Lima is a registered financial advisor currently at ASSETMARK, INC. located in Chicago, Illinois and ASSETMARK BROKERAGE, LLC located in Chicago, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. Robert has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO and SIE 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.
1) ASSETMARK FINANCIAL HOLDINGS, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 07/2024 - 160 HRS / MONTHLY, BUSINESS DEVELOPMENT CONSULTANT OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED. 2) VILLAGE OF SCHILLER PARK - NOT INVESTMENT-RELATED - IN SCHILLER PARK, IL - MUNICIPIAL GOVERNEMT - A VILLAGE BOARD TRUSTEE - START DATE 05/2015 - 8 HRS/ MONTHLY - 0 HOURS DURING SECURITY TRADING HOURS - AN ELECTED BOARD MEMBER TO HELP GOVERN THE TOWN
CRS (Client Relationship Summary) - RIA
Click below to view Robert Anthony Lima'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®
NoneExperience
Current
July 22, 2024 - Present
ASSETMARK, INC.
Office #1: 200 W. Madison Ave. Suite 2200, Chicago, IL 60606RIA
CRD#: 109018
Chicago, IL
Current
October 25, 2024 - Present
ASSETMARK BROKERAGE, LLC
Office #1: 200 W. Madison Ave. Suite 2200, Chicago, IL 60606BD
CRD#: 169804
Chicago, IL
Past
May 7, 2024 - July 10, 2024
MORNINGSTAR INVESTMENT SERVICES LLC
RIA
CRD#: 112525
CHICAGO, IL
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".
AI
ASSETMARK, INC.
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES
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.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
Alabama(3/6/2025)
RR
Georgia(3/6/2025)
IAR
Illinois(7/22/2024)
RR
Illinois(3/5/2025)
RR
Mississippi(3/6/2025)
RR
South Carolina(3/6/2025)
RR
Tennessee(3/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/25/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ASSETMARK, INC.
ARIS | SAVOS INVESTMENTS | GENWORTH FINANCIAL WEALTH MANAGEMENT, INC. | GENWORTH FINANCIAL ASSET MANAGEMENT, INC. | ASSETMARK, INC. | ASSETMARK INVESTMENT SERVICES, INC. | ASSETMARK INVESTMENT SERVICES INC | ASSETMARK INVESTMENT SERVICES
CRD#: 109018 / SEC#: 801-56323
RIA
Registered Investment Advisory firm - (3/8/1999 Approved)Upgrade to AdvisorCheck Premium
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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
Part 2 Brochures
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 | ||
| 12/19/2024 | ||
| 08/23/2024 | ||
| 12/06/2023 |
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.
