Role at AssetMark
- Title on Schedule A
- Chief Executive Officer, President, Chief Client Officer & Director
- Control
- Michael Kim is a control person of AssetMark.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Michael Kim has held the filed role since September 2023.
The firm
Form ADV filed 14 September 2026
Career on record
Michael Kim has been registered through AssetMark since March 2016.
- Passed SIE · 2018
- Passed Series 9 and Series 10 · 2001
- Passed Series 7 and Series 66 · 1999
Registrations and exams
Michael Kim has a current investment-adviser registration in California and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| California | Investment adviser representative | Approved | 30 March 2016 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 16 July 1999 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 November 2001 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 17 September 2001 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 27 May 1999 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Michael Kim
- CRD
- 3095923
- Firm
- Assetmark, Inc.
- Registration status
- Investment adviser and broker registrations
- Office
- 1655 GRANT STREET, 10TH FLOOR, Concord, CA 94520-2445
- Firm bio
- assetmark.com
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
Background
AssetMark describes Kim’s leadership experience across sales, client service and company strategy. Official firm biography
Common questions
Where does Michael Kim work?
Michael Kim has been Chief Executive Officer, President, Chief Client Officer & Director of Assetmark, Inc. since September 2023, and is a control person of the firm.
Is Michael Kim a financial advisor?
Yes. Michael Kim has a current investment-adviser registration in California, through AssetMark since March 2016, as of 17 October 2026.
How many years of experience does Michael Kim have?
Michael Kim has worked in the financial industry for 26 years as of 17 October 2026, counted from 10 May 2000, across 1 adviser firm.
What exams has Michael Kim passed?
Michael Kim has passed 5 licensing exams: the Series 7, Series 66, Series 9, Series 10 and SIE. The earliest, the Series 7, was passed in May 1999.
Where is Michael Kim based?
Michael Kim’s registered office is in Concord, CA.
Leadership at AssetMark
- Gary ZylaChief Financial Officer & Director
- Carrie HansenChief Operating Officer & Director
- John KovalChief Compliance Officer
- Ted AngusGeneral Counsel
- Gaurav AudityaEVP, Head of Client Operations
- Lou MaiuriChairperson of the Board & Director
- Joel McNattChief Wealth Solutions Officer