William M. Yawn

CETERA INVESTMENT ADVISERS LLC

FRANKLIN, TN

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CRD#: 1192907

Professional summary

William Mark Yawn, who also goes by Mark William Yawn, Wm Mark Yawn, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Franklin, Tennessee and CETERA WEALTH SERVICES, LLC located in Franklin, Tennessee.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. William has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark William Yawn | Wm Mark Yawn

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. LIFE INSURANCE/ANNUITY; INVESTMENT RELATED; SAME AS REGISTERED BRANCH; LIFE INSURANCE, ANNUITIES; INSURANCE AGENT; 08/22/2018; APPX 1 HOUR/MONTH; APPX 1 HOUR/MONTH DURING TRADING; SALE OF LIFE INSURANCE, ANNUITIES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Mark Yawn's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

FRANKLIN, TN

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

FRANKLIN, TN

Past

May 20, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

FRANKLIN, TN

Past

May 28, 2014 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

BRENTWOOD, TN

Past

May 23, 2014 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

BRENTWOOD, TN

Past

August 31, 2012 - May 29, 2014

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

BRENTWOOD, TN

Past

June 4, 2008 - June 14, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRENTWOOD, TN

Past

June 2, 2008 - May 23, 2014

LPL FINANCIAL LLC

CRD#: 6413

BRENTWOOD, TN

Past

May 24, 2006 - June 13, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FRANKLIN, TN

Past

May 5, 2006 - June 13, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FRANKLIN, TN

Past

January 28, 2004 - May 11, 2006

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

NASHVILLE, TN

Past

July 24, 2000 - May 11, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

NASHVILLE, TN

Past

November 2, 1994 - May 25, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

March 22, 1988 - June 29, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 1, 1985 - March 29, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

September 23, 1983 - September 19, 1985

MORGAN STANLEY DW INC.

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Florida
(9/23/2019)

Indiana
(9/16/2024)

North Carolina
(9/20/2019)

Tennessee
(9/20/2019)

IAR

Tennessee
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/14/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/1/1994

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/28/1989

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

William M. Yawn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Mark Yawn's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

STRATOS WEALTH PARTNERS, LTD

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

FIRST UNION BROKERAGE SERVICES, INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/14/2001

Series 63

Date: 12/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 11/1/1994

Series 3

Date: 11/28/1989

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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