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Norbert Allen Lach

Assetmark Brokerage, LLC

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About Norbert Allen Lach

Norbert Lach is a financial professional with over 20 years of experience in the financial services industry. Norbert is currently registered with Assetmark Brokerage, LLC in Phoenix, Arizona. Norbert has held previous positions with Charles Schwab & Co., Inc., Gemisys Securities Corporation, and Chicago Partnership Board, Inc. Norbert has a broad range of experience and holds multiple licenses including Series 3, 7, 9, 10, 24, 27 and 63.

Firm Information

Norbert Lach is currently registered with Assetmark Brokerage, LLC. Assetmark Brokerage, LLC is a Limited Liability Company formed in 2013 and approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

168

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.

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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Norbert Lach’s Registration & Firm History

AZ

01/27/2017 - Present

Assetmark Brokerage, LLC (Phoenix AZ)

AZ

04/05/1999 - 12/31/2015

CHARLES SCHWAB & CO., INC. (PHOENIX AZ)

CO

03/12/1998 - 01/08/1999

GEMISYS SECURITIES CORPORATION (CENTENNIAL CO)

IL

08/30/1996 - 11/19/1997

CHICAGO PARTNERSHIP BOARD, INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 09/06/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/14/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/14/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/02/1996

Series 27 - Financial and Operations Principal Examination

BC

Issued 10/08/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/24/1997

Series 3 - National Commodity Futures Examination

BC

Issued 08/28/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Norbert Allen Lach. Review regulatory record here.
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