MD
Mark J. Durket
CETERA INVESTMENT SERVICES LLC
Phoenix, AZ 85016
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CRD#: 1125215
MD
Professional summary
Mark Joseph Durket is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Phoenix, Arizona.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Joseph Durket's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 25, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1702 E. Highland Ave Suite 204, Phoenix, AZ 85016BD
CRD#: 15340
Phoenix, AZ
Past
May 27, 2020 - August 26, 2025
L.M. KOHN & COMPANY
BD
CRD#: 27913
Cave Creek, AZ
Past
November 30, 1989 - June 1, 2020
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
CINCINNATI, OH
Past
April 14, 1989 - December 5, 1989
MERIT FINANCIAL CORPORATION
BD
CRD#: 10265
Past
November 3, 1987 - April 19, 1989
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
March 18, 1985 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
Past
September 9, 1983 - March 18, 1985
HILL & CO.
BD
CRD#: 2198
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/28/2025)
RR
Arizona(8/26/2025)
RR
California(8/25/2025)
RR
Colorado(8/27/2025)
RR
Connecticut(8/26/2025)
RR
Florida(8/26/2025)
RR
Georgia(8/26/2025)
RR
Illinois(8/27/2025)
RR
Indiana(8/29/2025)
RR
Kentucky(9/2/2025)
RR
Maryland(8/28/2025)
RR
Michigan(8/27/2025)
RR
Missouri(8/26/2025)
RR
New Jersey(8/27/2025)
RR
New York(8/28/2025)
RR
North Carolina(8/27/2025)
RR
Ohio(8/28/2025)
RR
Oregon(8/26/2025)
RR
Pennsylvania(8/27/2025)
RR
South Carolina(8/27/2025)
RR
Virginia(8/27/2025)
RR
Wisconsin(8/26/2025)
RR
Wyoming(8/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT SERVICES LLC
BANKERS SYSTEMS BROKERAGE SERVICES, INC. | PRIMEVEST FINANCIAL SERVICES, INC. | CETERA INVESTMENT SERVICES LLC | CETERA FINANCIAL INSTITUTIONS
CRD#: 15340 / SEC#: 801-45573, 8-31826
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
400 First St. S. Suite 300, St. Cloud, MN 56301
Mailing Address
P.o. Box 283, St. Cloud, MN 56302-0283
Phone number
(320) 656-4300
Established
Delaware since 11/30/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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