CM
Colin S. Mackenzie
CETERA INVESTMENT ADVISERS LLC
PASADENA, CA 91101
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CRD#: 1142061
CM
Professional summary
Colin Stephenson Mackenzie III, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pasadena, California and CETERA WEALTH SERVICES, LLC located in Pasadena, California.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Colin has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE AND LTC; 2. AMERICAN FINANCIAL CONCEPTS, CORP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, CORP FOR BUSINESS EXPENSES ONLY, START 2/18/1982, 0 HRS/WK (NON-TRADING HOURS), OWNER; 3.NAME OF OTHER BUSINESS: ONE STEP MINISTRY AT TERRA NOVA CHURCH INVESTMENT RELATED: NO ADDRESS: 7 WHATNEY IRVINE CA 92618 NATURE OF BUSINESS: RELIGIOUS ORGANIZATION START DATE: 11/2017 POSITION/TITLE/RELATIONSHIP: COUNSELER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: PROVIDE BASIC FINANCIAL COUNSELING AND BUDGET RECOMMENDATIONS 4. NAME OF OTHER BUSINESS: FLYING LEATHERNECK HISTORICAL FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 9400 ACTIVITY ROAD, SUITE C, SAN DIEGO, CA 92126, NATURE OF BUSINESS: NON-PROFIT, START DATE: 07/2024 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 5, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: FINANCE COMMITTEE, FUND RAISING, HELPING WITH SOME OF THE OPERATIONS AND MARKETING;
CRS (Client Relationship Summary) - RIA
Click below to view Colin Stephenson Mackenzie III'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 301 E Colorado Blvd. Ste 400, Pasadena, CA 91101RIA
CRD#: 105644
PASADENA, CA
Current
November 9, 2005 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 301 E Colorado Blvd. Ste 400, Pasadena, CA 91101BD
CRD#: 13572
Pasadena, CA
Past
November 10, 2005 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 31, 2005 - October 6, 2005
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
LOS ANGELES, CA
Past
March 24, 2005 - October 6, 2005
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
LOS ANGELES, CA
Past
March 18, 2005 - October 6, 2005
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
BOSTON, MA
Past
February 21, 2002 - March 24, 2005
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PASADENA, CA
Past
July 18, 1994 - March 24, 2005
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
April 16, 1985 - February 24, 1986
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
April 1, 1985 - February 25, 1986
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
June 22, 1983 - January 11, 1985
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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(1/23/2006)
RR
Arkansas(1/2/2008)
RR
California(11/9/2005)
IAR
California(6/29/2023)
RR
Colorado(1/2/2008)
RR
Illinois(1/23/2006)
RR
Indiana(11/9/2005)
RR
Maryland(1/4/2010)
RR
South Carolina(1/4/2010)
RR
Tennessee(11/17/2009)
RR
Texas(2/12/2025)
IAR
Texas(2/12/2025)
RR
Washington(1/3/2007)
RR
Wisconsin(1/23/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
