Notice at Collection of Personal Information for California Employees, Prospective Employees, and Independent Contractors

CATEGORIES OF INFORMATION WE COLLECT

PURPOSE FOR WHICH THE INFORMATION WILL BE USED

LENGTH OF TIME WE KEEP THE INFORMATION

Identifiers, such as your name, address, Internet Protocol (IP) address, device identifier, e-mail address, bank account number, telephone number(s), signature and sensitive personal information such as social security number, driver’s license number, and passport information.

• To identify you, communicate with you, process our payroll, and provide you with compensation and company sponsored benefits

• As required by law. Typically a minimum of five years after employment decision or termination of employment, whichever is longer

Your spouse or domestic partner’s identifiers, such as name, address, gender, date of birth, and sensitive personal information such as social security number.

• To provide your spouse or domestic partner with company-sponsored benefits as elected by you

• Typically a minimum of five years after employment decision or termination of employment, whichever is longer

Commercial information, such as financial account numbers and transaction information, including account statements for securities brokerage accounts

• To comply with legal requirements

• As required by law. Typically a minimum of six years after termination of employment

Health and medical information.

• To market, provide, and/or receive products and services to or from you
• To review and consider accommodation requests for nonstandard work arrangements
• To provide you with benefits and process claims

• As required by law. Typically a minimum of six years after termination of employment

Educational information, such as the schools you have attended and your degrees.

• To determine your qualifications and make employment decisions

• As required by law. Typically a minimum of six years after termination of employment

Professional information, such as your employment history, professional licenses, certifications, and references.

• To determine your qualifications, make employment decisions
• To promote and manage our business and commercial interests

• As required by law. Typically a minimum of six years after termination of employment

Information reported to us as a result of a consumer report or background check that you authorize.

• To make employment decisions and to determine whether to entrust you with confidential information.

• As required by law. Typically a minimum of six years after termination of employment

Biometric information, such as fingerprints.

• To comply with legal requirements, provide to securities regulators and, where permitted by federal, state and local law, to conduct a background check

• As required by law. Typically a minimum of six years after termination of employment

Audio information, such as telephone calls on recorded lines.

• To review information provided to clients and to train you and measure your performance

• Typically a minimum of one year for the audio file and a minimum of five years for the written transcripts

Visual information, such as images from security cameras in certain locations in our offices and surrounding areas.

• To maintain the security of our premises and information

• Typically 30 days after the physical access to the AssetMark office

Visual information, such as your photograph.

• To promote our business
• To maintain the security of our premises and information
• To comply with legal requirements

• Identification badge photos are retained for a minimum of two years after termination of employment. We retain photographs of group events for an unlimited period of time

Information regarding your electronic network activity using our equipment, such as the location from which you log in, internet browsing history, usage, and email content.

• To monitor employee activities, to maintain the security of our systems, and to detect improper activity

• As required by law. Typically a minimum of six years; longer in archived and backup storage
• For the location from which you log-in to your company issued laptop, typically 30 days

Commercial information regarding expenses you submit for reimbursement.

• To evaluate your expense report and to reimburse you for authorized expenses

• Typically a minimum of four years after termination of employment

If you are a registered representative

• Uniform Application for Securities Industry Registration or Transfer (Form U4);
• Uniform Termination Notice for Securities Individuals (Form U5);
• Central Registration Depository (CRD) records;
• Information collected by FINRA as part of its background check, including a description of physical characteristics, customer complaints, and outcome;
• Information that you provide to us as required by the securities industry;
• Information from federal and state licensing organizations

• To comply with legal requirements
• To make employment decisions and supervise our registered representative employees

• Typically a minimum of five years after employment decision or termination of employment, whichever is longer

Voluntary identification of sensitive information such as your race/ethnicity, gender, age, disability status, and veteran status (you have the option to choose not to self-identify).

• To comply with government reporting requirements

• As required by law. Typically a minimum of three years after the termination of employment, although some records may be kept longer as required

Records of your physical access to AssetMark offices and secure areas, including times in and out of our suites.

• To maintain and monitor the security of our personnel, information, and premises

• Typically one year after the termination of employment

The location of your company issued mobile phone and/or personal mobile phone.

• To alert you of safety and security risks near your location, if you opt in for alerts
• To help you locate your company issued mobile phone, if you report it lost or stolen

• For each device you opt in from, the geographic location of that cell phone/s is typically retained for 48 hours
• For your lost or stolen company issued cell phone, typically until it has been located or wiped

Medical information, such as whether you have been vaccinated for COVID-19.

• To maintain a healthy work environment

• Typically until termination of employment

Your date and month of birth.

• To celebrate your birthday, if you provide separate consent to this information being shared with superiors in your management chain and administrative assistance staff

• Typically, a minimum of five years after employment decision or termination of employment, whichever is longer. However after termination this information will no longer be visible to superiors in your management chain and administrative assistance staff

If you are a remote employee, a copy of your government-issued identification.

• To comply with legal requirements

• As required by law. Typically a minimum of five years after termination of employment

Whether you are currently serving in the military or are a veteran of the military.

• To better understand our workforce demographics

• Typically a minimum of five years after employment decision or termination of employment, whichever is longer