Mark C. Butterworth
CWM
Tulsa, OK 74114
Some features on this profile are disabled
CRD#: 1309471
Professional summary
Mark Charles Butterworth, CFP® is a registered financial advisor currently at CWM, LLC located in Tulsa, Oklahoma and CETERA INVESTMENT ADVISERS LLC located in Tulsa, Oklahoma.
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 11 firms and has passed the Series 63, SIE, Series 7 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: CWM, DBA CARSON PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING AND ADDITIONAL ADVISORY SERVICES POSITION/TITLE/RELATIONSHIP: WEALTH ADVISOR START DATE: 7/2020 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: WEALTH ADVISOR, PROVIDING ADVISORY SERVICES TO MY CLIENTS THROUGH CARSON 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 7/1977 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE 3. NAME OF OTHER BUSINESS: BUTTERWORTH FINANCIAL GROUP, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROVIDE TAX PREPARATION SERVICES TO CLIENTS AND NON-CLIENTS START DATE: 3/2013 POSITION/TITLE/RELATIONSHIP: PRESIDENT OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: TAX RETURN PREPARATION FOR SEVERAL INVESTMENT CLIENTS AND A SMALL NUMBER OF NON-INVESTMENT CLIENTS, BROKERAGE SERVICES OFFERED THROUGH CETERA, ADVISORY SERVICES OFFERED THROUGH CARSON 4. NAME OF OTHER BUSINESS: CASCIA HALL SCHOOL FOUNDATION BOARD INVESTMENT RELATED: NO ADDRESS: 2520 S. YORKTOWN AVENUE, TULSA, OK 74114 NATURE OF BUSINESS: NON-PROFIT ORGANIZATION WHICH SUPPORTS PRIMARY PRIVATE SCHOOL START DATE: 9/2005 POSITION/TITLE/RELATIONSHIP: CHAIRPERSON, MEMBER OF THE FOUNDATION BOARD APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: CHAIRPERSON, MEMBER OF THE FOUNDATION BOARD 5. NAME OF OTHER BUSINESS: THE AUGUSTINIANS - OUR MOTHER OF GOOD COUNSEL PROVINCE TRUSTS INVESTMENT RELATED: NO ADDRESS: 5401 . CORNELL AVENUE, CHICAGO, IL 60615 NATURE OF BUSINESS: NON-PROFIT ORGANIZATION WHICH SUPPORTS THE AUGUSTINIAN ORDER START DATE: 4/2014 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER (GENERAL) APX NUMBER OF HOURS PER WEEK: LESS THAN 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER (GENERAL) 6. NAME OF OTHER BUSINESS: BOSTON AVENUE UNITED METHODIST CHURCH; INVESTMENT RELATED: NO; ADDRESS: 1301 S. BOSTON AVE TULSA, OK 74119; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2025; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/INVESTMENT COMMITTEE; APX NUMBER OF HOURS PER WEEK: 0.5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH FEEDBACK TO THE OUTSIDE CONSULTING FIRM IN DETERMINING THE ALLOCATION AND RISK PROFILE FOR THE CHURCH'S ENDOWMENT;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Charles Butterworth'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: 1988
Experience
Current
July 13, 2020 - Present
CWM, LLC
Office #1: 2642 E. 21st St. Suite 280, Tulsa, OK 74114RIA
CRD#: 155344
Tulsa, OK
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1350 S Boulder Ave Ste 300, Tulsa, OK 74119RIA
CRD#: 105644
TULSA, OK
Current
July 13, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2642 E 21st St Ste 280, Tulsa, OK 74114BD
CRD#: 13572
Tulsa, OK
Past
July 13, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
January 30, 2013 - July 16, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
TULSA, OK
Past
June 20, 2003 - March 28, 2013
BUTTERWORTH FINANCIAL ADVISORY, LLC
RIA
CRD#: 126639
TULSA, OK
Past
October 16, 2002 - December 2, 2003
DAVIS-ROSS INVESTMENT ADVISERS, LLC
RIA
CRD#: 117751
TULSA, OK
Past
August 1, 2002 - July 16, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
TULSA, OK
Past
February 3, 1992 - August 16, 2002
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
May 1, 1991 - February 4, 1992
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
December 16, 1989 - May 3, 1991
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 15, 1987 - December 16, 1989
LINSCO FINANCIAL GROUP, INC.
BD
CRD#: 524
Past
December 18, 1984 - January 15, 1987
RADFORD CAPITAL CORPORATION
BD
CRD#: 10480
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
Arkansas(7/13/2020)
RR
Colorado(7/13/2020)
RR
Florida(1/5/2023)
RR
Oklahoma(7/13/2020)
IAR
Oklahoma(7/13/2020)
RR
Texas(7/13/2020)
IAR
Texas(7/13/2020)
RR
Washington(7/13/2020)
RR
Wyoming(7/13/2020)
Exams
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Tulsa, OK 74114TRUST BUT VERIFY
Monitor Mark Butterworth
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
