Mark L. Merlotti
CETERA INVESTMENT ADVISERS LLC
ST LOUIS, MO 63110
Some features on this profile are disabled
CRD#: 1251289
Professional summary
Mark Louis Merlotti, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA WEALTH SERVICES, LLC located in St. Louis, Missouri.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Retirement Planning
Tax Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Business Succession Planning
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. CO-OP INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2015 ADDRESS: , St. Louis MO , United States DESCRIPTION: Agent/Broker 2. GREAT RIVERS HABITAT ALLIANCE POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: , St Louis MO , United States DESCRIPTION: Advisory Board 3. MERCY SOUTH POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: , St Louis MO , United States DESCRIPTION: Advisory Board 4. R.F. BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: , St. Louis MO , United States DESCRIPTION: Agent/Broker 5. UNUM POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: , Portland ME , United States DESCRIPTION: Agent/Broker 6. AON SERVICE CORPARATION POSITION: former employee NATURE: Former employee over 5 years ago INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2014 ADDRESS: 200 E Randolph St, Chicago IL 60601, United States DESCRIPTION: Aon is my prior employer and the payments i receive from them are payments from a nonqualified deferred compensation plan. I perform no duties with them and have no obligations to them. The payments will continue through 2024 7. OLD WARSON COUNTRY CLUB POSITION: Volunteer NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2019 ADDRESS: 9681 Old Warson Road, St. Louis MO 62124, United States DESCRIPTION: Long Range Planning Committee 8. NAME OF OTHER BUSINESS: NATIONAL ASSOCIATION OF TAX PORFESSIONALS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NETWORKING; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RECEIVE NEWSLETTERS AND UPDATES ON INCOME TAX ISSUES;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Louis Merlotti'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®
CFP®
Start date: 1984
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5700 Oakland Ave Ste 400, St Louis, MO 63110RIA
CRD#: 105644
ST LOUIS, MO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5700 Oakland Avenue Suite 400, St. Louis, MO 63110BD
CRD#: 13572
St. Louis, MO
Past
January 15, 2015 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST. LOUIS, MO
Past
December 24, 2014 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. LOUIS, MO
Past
January 6, 2000 - December 15, 2014
AON SECURITIES LLC
BD
CRD#: 4138
CLAYTON, MO
Past
January 5, 1998 - December 31, 1999
WESTPORT FINANCIAL SERVICES, L.L.C.
BD
CRD#: 38449
JACKSONVILLE, FL
Past
April 1, 1996 - January 2, 1998
AON SECURITIES LLC
BD
CRD#: 4138
CHICAGO, IL
Past
May 24, 1994 - April 1, 1996
FORTH FINANCIAL SECURITIES, CORPORATION
BD
CRD#: 14363
RICHMOND, VA
Past
April 10, 1986 - May 3, 1994
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 27, 1986 - February 18, 1986
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
August 14, 1984 - April 1, 1986
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
Past
March 22, 1984 - September 4, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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
Alabama(8/10/2023)
RR
Arizona(8/10/2023)
RR
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Florida(8/11/2023)
RR
Hawaii(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
IAR
Missouri(8/10/2023)
RR
New Jersey(11/6/2025)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(6/27/2024)
RR
Ohio(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(9/20/2024)
RR
Virginia(8/21/2024)
RR
Wisconsin(7/19/2024)
RR
Wyoming(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
