Art Dougan is a registered investment advisor, based in Concord, CA, with 3 years of industry experience.
Location
1655 Grant Street, 10th Floor, Concord, CA, 94520-2445
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
September 2023Other Business Activities
Art works full-time as a sales consultant for AssetMark Financial Holdings, Inc. He also co-owns Shiny's, LLC, an online retailer of collectibles, dedicating about 10-20% of his time to packaging orders, sourcing items, and researching prices.
Employment History
Current Registrations
Assetmark Brokerage, LLCBroker
April 2025 - Present · 1 yr 1 mo
Assetmark, INC.
April 2025 - Present · 1 yr 1 mo
Assetmark Brokerage, LLC
April 2025 - Present · 1 yr 1 mo
Previous Registrations
Transamerica Financial Advisors, LLC
December 2024 - April 2025 · 4 mos
Transamerica Financial Advisors, LLCBroker
December 2024 - April 2025 · 4 mos
TD Ameritrade, INC.Broker
January 2023 - September 2023 · 8 mos
Charles Schwab & CO., INC.
September 2021 - September 2023 · 2 yrs
Charles Schwab & CO., INC.Broker
September 2021 - September 2023 · 2 yrs
MML Investors Services, LLC
May 2021 - August 2021 · 3 mos
MML Investors Services, LLCBroker
March 2021 - August 2021 · 5 mos
State Registrations2 states
CAIN
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.