ML
Mark L. Lopez
AVANTAX PLANNING PARTNERS
Missoula, MT 59808
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CRD#: 1128966
ML
Professional summary
Mark Lawrence Lopez is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Missoula, Montana and CETERA INVESTMENT ADVISERS LLC located in Whitefish, Montana.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) FIXED INSURANCE-VARIOUS CARRIERS; POSITION: AGENT NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: 22 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2008 ADDRESS: Missoula MT , US; Insurance sales. 2) GROUP INSURANCE-SALES; Agent: Various lines of group insurance offered through Insurance companies that provide Group Life and Disability Insurance to employers INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2007; 2419 Mullan RD STE B, Missoula MT 59808, US; I sell and service group Life and Disability insurance to employer groups. 3) LEGACY WEALTH MANAGEMENT LLC POSITION: Owner/President NATURE: We are in the process of purchasing JCCS wealth Advisors. We have been working through this with 1st Global for several months. Ownership will change to Mark Lopez @ 60%and Dallas Lopez @ 40%We are both Employees of the company. We file a W-2 and Schedule C for income. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 130 START DATE: 10/01/2018 ADDRESS: 2419 Mullan Road, suite B, Missoula MT 59808-5800, United States DESCRIPTION: I will be a full time FA with some administrative duties that are associated with owning a wealth Management company 4)LOVIS LLC; Owner; I own a rental property that has already been disclosed. The address is 4207 Deveraux Pl B Missoula, Mt. 59808. I recently updated my Estate plan and decided to place this property in an LLC as recommended by my attorney. I receive passive rental income and I am the only owner of the property.; NIR; 1; 09/13/2018; 7225 Buckhorn Lane (my primary residence) Missoula MT 59808; I am the owner of this rental property. I receive some passive income and I am responsible for maintaining the property.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Lawrence Lopez'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
May 6, 2024 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 2419 Mulan Road Suite B, Missoula, MT 59808Office #2: 501 Park Drive South, Great Falls, MT 59403Office #3: 3060 Cabernet Dr Ste 2, Helena, MT 59601Office #4: 35 Three Mile Dr. Suite 101, Kalispell, MT 59901Office #5: 307 Spokane Ave Ste 102, Whitefish, MT 59937RIA
CRD#: 106237
Missoula, MT
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 307 Spokane Avenue Ste. 200, Whitefish, MT 59937Office #2: 2419 Mullan Road Suite B, Missoula, MT 59808Office #3: 35 Three Mile Dr. Suite 101, Kalispell, MT 59901Office #4: 501 Park Drive South, Great Falls, MT 59403Office #5: 3060 Cabernet Dr Ste 2, Helena, MT 59601RIA
CRD#: 105644
WHITEFISH, MT
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 501 Park Drive South, Great Falls, MT 59403Office #2: 2419 Mullan Road Suite B, Missoula, MT 59808Office #3: 3060 Cabernet Dr Ste 2, Helena, MT 59601Office #4: 307 Spokane Ave. Ste. 200, Whitefish, MT 59937Office #5: 35 Three Mile Dr. Suite 101, Kalispell, MT 59901BD
CRD#: 13572
GREAT FALLS, MT
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MISSOULA, MT
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
KALISPELL, MT
Past
August 26, 2009 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
MISSOULA, MT
Past
August 8, 2006 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
MISSOULA, MT
Past
November 1, 2001 - August 16, 2006
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
MISSOULA, MT
Past
June 13, 1983 - November 13, 2001
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Idaho(9/5/2025)
RR
Maine(9/5/2025)
IAR
Montana(5/6/2024)
RR
Montana(9/5/2025)
RR
Nevada(9/5/2025)
RR
North Carolina(9/5/2025)
RR
North Dakota(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
IAR
Texas(5/6/2024)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Missoula, MT 59808TRUST BUT VERIFY
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