Mark E. Boden
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Emmanual Boden, who also goes by Mark E Lampert Boden, Mark Emmanuel Boden, Mark Lampertboden, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2016 - January 17, 2019
CETERA ADVISORS LLC
October 3, 2016 - January 17, 2019
CETERA ADVISORS LLC
October 15, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
October 9, 2015 - October 3, 2016
INVESTORS CAPITAL CORP.
March 16, 2015 - October 12, 2015
SEACREST WEALTH MANAGEMENT, LLC
January 23, 2015 - October 9, 2015
PURSHE KAPLAN STERLING INVESTMENTS
October 4, 2011 - January 30, 2015
COBURN & MEREDITH, INC.
September 28, 2011 - January 30, 2015
COBURN & MEREDITH, INC.
June 30, 2011 - October 14, 2011
BAY COLONY ADVISORS
January 10, 2011 - July 7, 2011
MUTUAL SECURITIES, INC.
January 3, 2011 - July 7, 2011
MUTUAL SECURITIES, INC.
November 14, 2008 - January 3, 2011
TLG ADVISORS, INC.
November 3, 2008 - January 3, 2011
THE LEADERS GROUP, INC.
June 2, 2006 - November 10, 2008
IC ADVISORY SERVICES, INC.
February 16, 2000 - November 10, 2008
THE INVESTMENT CENTER, INC.
January 1, 2000 - June 2, 2006
THE INVESTMENT CENTER, INC.
June 18, 1997 - March 13, 2000
GLEACHER & COMPANY SECURITIES, INC.
June 1, 1995 - May 29, 1997
MORGAN STANLEY DW INC.
November 17, 1993 - May 17, 1995
PRUDENTIAL EQUITY GROUP, LLC
May 28, 1991 - January 21, 1994
UBS FINANCIAL SERVICES INC.
March 16, 1987 - June 12, 1991
LEHMAN BROTHERS INC.
September 10, 1986 - March 9, 1987
PIPER SANDLER & CO.
June 7, 1984 - September 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/14/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
