Mark W. Havanec
Professional summary
Mark William Havanec, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Westerville, Ohio and CETERA ADVISORS LLC located in Westerville, Ohio.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark William Havanec's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 647 Park Meadow Rd Ste C, Westerville, OH 43081January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 647 Park Meadow Rd Ste C, Westerville, OH 43081January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
February 14, 1991 - January 1, 2004
VESTAX SECURITIES CORPORATION
January 23, 1991 - February 14, 1991
VESTAX SECURITIES CORPORATION
February 25, 1985 - May 7, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
February 19, 1983 - February 21, 1985
FIRST SECURITIES CORPORATION OF COLUMBUS
March 30, 1982 - April 6, 1983
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2018)
(1/1/2004)
(1/1/2004)
(4/19/2021)
(10/15/2021)
(1/1/2004)
(1/1/2004)
(1/11/2008)
(1/1/2004)
(1/7/2020)
(10/24/2011)
(1/2/2015)
(8/5/2022)
(1/1/2004)
(3/21/2024)
(1/1/2004)
(1/5/2015)
(8/31/2023)
(9/2/2004)
(3/21/2024)
(1/2/2024)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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