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John Koval

Chief Compliance Officer at AssetMark

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

John Koval is Chief Compliance Officer of Assetmark, Inc., a Concord investment adviser managing $91.8B. John Koval has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at AssetMark

Title on Schedule A
Chief Compliance Officer
Control
John Koval is a control person of AssetMark.
Ownership
An individual ownership band is not available in the source record.
Tenure
John Koval has held the filed role since May 2025.

The firm

Assetmark, Inc.
Concord, CA

Form ADV filed 14 September 2026

$91.8B AUM456,452 clients269 advisers5 offices

Career on record

Firms and exams, newest first
  1. Passed Series 27 · 2022
  2. Passed SIE · 2018
  3. Passed Series 26 · 2014
  4. Passed Series 6 · 2013
  5. Passed Series 3 and Series 30 · 2012

Registrations and exams

Broker registration; no current adviser registration. John Koval has passed 6 qualifying exams.

Examinations

Series 2717 October 2022
Name
Financial and Operations Principal Examination
Series 263 January 2014
Name
Investment Company Products/Variable Contracts Principal Examination
Series 3031 December 2012
Name
NFA Branch Manager Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 627 December 2013
Name
Investment Company Products/Variable Contracts Representative Examination
Series 326 December 2012
Name
National Commodity Futures Examination

Individual record

Full name
John Henry Koval
CRD
2468284
Firm
Assetmark, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does John Koval work?

John Koval has been Chief Compliance Officer of Assetmark, Inc. since May 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 14 September 2026

Does John Koval have a current investment-adviser registration?

John Koval has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has John Koval passed?

John Koval has passed 6 licensing exams: the Series 3, Series 30, Series 6, Series 26, SIE and Series 27. The earliest, the Series 3, was passed in December 2012.

Source: IAPD individual record, checked 17 October 2026

Leadership at AssetMark

Sources

  1. IAPD individual record, CRD 2468284. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Assetmark, Inc., filed 14 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with John Koval or Assetmark, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.