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

REV 03/2025

This Notice at Collection describes the categories of California Personal Information that we collect from employees, prospective employees, and independent contractors. If you would like to learn more about our information practices, please visit our privacy policy here. In this California Notice at Collection, “we,” “us,” and “our” refers to AssetMark Financial Holdings, Inc. (“AssetMark”). “You” or “your” refers to you, an individual.

Information We Collect

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 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
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
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

Information We Sell or Share

We do not sell or share your California Personal Information with third parties unless you have directed us to share this information through your affirmative acceptance of Marketing Cookies from assetmark.com or Targeting Cookies from ewealthmanager.com. If you have opted in and accepted those cookies, our websites share your IP address, the URL you came from, and your interaction with our websites with our analytics providers, third-party advertising networks, and social media platforms for their use in cross-context behavioral advertising across multiple websites. You can withdraw your consent at any time:

• Specifically for assetmark.com, by going to assetmark.com/prospective-employee-privacy-notice and clicking on the Manage Preferences link to view and toggle off Marketing Cookies.

• Specifically for ewealthmanager.com, by clicking here and selecting “Cookies Settings” to view and toggle off Targeting Cookies. You may also send us an opt-out preference signal through your privacy controls available on your web browser.

The online version of this policy, together with live links, can be found at: assetmark.com/prospective-employee-privacy-notice