DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Sean David Spellman

Advisor at ASSETMARK, INC.

CONCORD, CA | Haddon Township, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8b784565-d1b0-ae37-1383-94eebc02b026

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: May 16, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ASSETMARK, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 20, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 20, 2000
First registration: May 16, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 4084928

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ASSETMARK, INC.	Bd affiliated wealth	Mar 26, 2026	n/a	yes	Haddon Township, NJ\|CONCORD, CA	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Nov 8, 2023	Sep 19, 2024	no	Tarrytown, NY\|New York, NY\|HADDON TOWNSHIP, NJ	Previous registration
BNY MELLON ADVISORS, INC.	Bank affiliated wealth	Apr 22, 2016	Feb 7, 2023	no	NEW YORK, NY	Previous registration
SEI INVESTMENTS MANAGEMENT CORP	Mixed wealth	Aug 21, 2014	Nov 3, 2015	no	OAKS, PA	Previous registration
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Aug 24, 2007	Sep 5, 2013	no	SOMERSET, NJ\|SOMERSET, NJ	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Aug 24, 2007	Jul 17, 2014	no	SOMERSET, NJ\|SOMERSET, NJ\|SOMERSET, NJ	Previous registration
TOWER SQUARE SECURITIES, INC.	Former SEC adviser	Aug 24, 2007	Sep 5, 2013	no	SOMERSET, NJ\|SOMERSET, NJ	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Aug 24, 2007	Jul 17, 2014	no	SOMERSET, NJ\|SOMERSET, NJ\|SOMERSET, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	May 16, 2005	May 4, 2007	no	HADDONFIELD, NJ\|VOORHEES, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	ASSETMARK, INC.	Sep 19, 2024	Mar 26, 2026	553	Firm change after gap	Ibd to ibd
BNY MELLON ADVISORS, INC.	MML INVESTORS SERVICES, LLC	Feb 7, 2023	Nov 8, 2023	274	Firm change	RIA to ibd
SEI INVESTMENTS MANAGEMENT CORP	BNY MELLON ADVISORS, INC.	Nov 3, 2015	Apr 22, 2016	171	Firm change	Other
MSI FINANCIAL SERVICES, INC.	SEI INVESTMENTS MANAGEMENT CORP	Jul 17, 2014	Aug 21, 2014	35	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	MSI FINANCIAL SERVICES, INC.	Jul 17, 2014	Aug 24, 2007	-2,519	Firm change after gap	Other
WALNUT STREET SECURITIES, INC.	NEW ENGLAND SECURITIES CORPORATION	Sep 5, 2013	Aug 24, 2007	-2,204	Firm change after gap	Other
TOWER SQUARE SECURITIES, INC.	WALNUT STREET SECURITIES, INC.	Sep 5, 2013	Aug 24, 2007	-2,204	Channel change	Other
PNC WEALTH MANAGEMENT	TOWER SQUARE SECURITIES, INC.	May 4, 2007	Aug 24, 2007	112	Firm change	Other

Relationships

Registered with (9)

→ ASSETMARK, INC.Registered adviserregistration: current employment
Mar 26, 2026 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Nov 8, 2023 to Sep 19, 2024factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserregistration: previous registration
Apr 22, 2016 to Feb 7, 2023factForm ADV
→ SEI INVESTMENTS MANAGEMENT CORPRegistered adviserregistration: previous registration
Aug 21, 2014 to Nov 3, 2015factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Aug 24, 2007 to Jul 17, 2014factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Aug 24, 2007 to Jul 17, 2014factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Aug 24, 2007 to Sep 5, 2013factForm ADV
→ TOWER SQUARE SECURITIES, INC.Registered adviserregistration: previous registration
Aug 24, 2007 to Sep 5, 2013factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
May 16, 2005 to May 4, 2007factForm ADV

Dated events

Occurred
Sep 19, 2024
Advisor changed firm
Sean David Spellman left Mml Investors Services, Llc for Assetmark, Inc. (registered 2026-03-26)
Form ADVobserved 5 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Sean David Spellman left Bny Mellon Advisors, Inc. for Mml Investors Services, Llc (registered 2023-11-08)
Form ADVobserved 5 days ago