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Michael D Heavey

Assetmark, Inc.

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About Michael D Heavey

Michael Heavey is an active Investment Advisor Representative at Assetmark, Inc.. Michael has been in the securities industry since 1998. Michael has a strong background in the financial services industry with previous employment at Ceros Financial Services, Inc., Fidelity Brokerage Services LLC, MFS Fund Distributors, Inc., Charles Schwab & Co., Inc., Sentra Securities Corporation, Spelman & Co., Inc., Fortress Financial Securities Corporation, Salomon Smith Barney Inc., Garban LLC, RMJ Securities Corp. and Liberty Brokerage Inc. Michael holds the Series 63, Series 65, Series 7, Series 24 and SIE licenses. Michael is also registered in Michigan.

Firm Information

Michael Heavey is currently registered with Assetmark, Inc.. Assetmark, Inc. is a Concord, CA-based investment advisor with approximately $1 billion - $10 billion in assets under management. The firm provides portfolio management for individuals, investment companies, and pension plans, as well as selection of other advisors and pension consulting. Assetmark serves a wide range of clients, including individuals, high-net-worth individuals, corporations, charitable organizations, insurance companies, pension and profit-sharing plans, and investment companies. They also offer wrap fee program participation.
Assetmark, Inc.

1655 GRANT STREET

CONCORD, CA 94520-2445

$65.62B

Assets Under Management

91,910

Total Clients

166

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Michael Heavey’s Registration & Firm History

CA

08/18/2022 - Present

Assetmark, Inc. (CONCORD CA)

MD

03/01/2016 - 07/06/2022

CEROS FINANCIAL SERVICES, INC. (ROCKVILLE MD)

MA

06/30/2014 - 03/04/2015

FIDELITY BROKERAGE SERVICES LLC (BRAINTREE MA)

MA

12/20/2005 - 08/02/2012

MFS FUND DISTRIBUTORS, INC. (BOSTON MA)

TX

03/17/2004 - 10/26/2005

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

AZ

05/14/2001 - 12/15/2001

SENTRA SECURITIES CORPORATION (PHOENIX AZ)

AZ

05/14/2001 - 12/15/2001

SPELMAN & CO., INC. (PHOENIX AZ)

NY

09/27/2000 - 03/15/2001

FORTRESS FINANCIAL SECURITIES CORPORATION (NEW YORK NY)

NY

04/09/1998 - 11/23/1998

SALOMON SMITH BARNEY INC. (NEW YORK NY)

NY

11/01/1994 - 01/09/1998

GARBAN LLC (NEW YORK NY)

NY

10/11/1993 - 04/19/1994

RMJ SECURITIES CORP. (NEW YORK NY)

NJ

08/09/1990 - 10/04/1993

LIBERTY BROKERAGE INC. (JERSEY CITY NJ)

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Licenses & Designations

IA

Issued 07/15/2014

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/29/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/02/2000

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/2004

Series 7 - General Securities Representative Examination

BC

Issued 12/15/2000

Series 55 - Limited Representative-Equity Trader Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Michael D Heavey.
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