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WB

William S. Bullen

Some features on this profile are disabled
CRD#: 844784
WB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Scott Bullen was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1977. William had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

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.
ASSETMARK FINANCIAL, INC. (PARENT COMPANY) - IN CONCORD, CA - INVESTMENT RELATED - EMPLOYMENT START DATE 08/2014 - 160 HRS / MONTHLY, SERVICE SPECIALIST OF ASSETMARK, INC. - A REGISTERED INVESTMENT ADVISER - IN CONCORD CA - AFFILIATE OF ASSETMARK BROKERAGE, LLC. - INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 15, 2014 - April 18, 2022

ASSETMARK BROKERAGE, LLC

BD
CRD#: 169804
CONCORD, CA
Past

December 3, 2013 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 20, 2010 - April 18, 2022

ASSETMARK, INC.

RIA
CRD#: 109018
CONCORD, CA
Past

July 20, 2010 - November 13, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

December 11, 2008 - January 15, 2010

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SAN FRANCISCO, CA
Past

December 2, 2008 - January 15, 2010

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

June 7, 2006 - October 18, 2007

TD AMERITRADE, INC.

RIA
CRD#: 7870
WALNUT CREEK, CA
Past

June 7, 2006 - October 18, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
WALNUT CREEK, CA
Past

May 9, 2006 - October 18, 2007

TD AMERITRADE, INC.

BD
CRD#: 7870
WALNUT CREEK, CA
Past

January 1, 2004 - November 1, 2005

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
NEW YORK, NY
Past

November 8, 2002 - January 1, 2004

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

October 7, 1994 - July 5, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

April 19, 1994 - October 7, 1994

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

March 5, 1987 - April 20, 1994

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

December 18, 1984 - November 3, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

October 26, 1977 - January 14, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/6/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/27/1984
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: 12/15/1984
General Securities Representative Examination

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#: 169804

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