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CM

Craig W. Markham

CETERA INVESTMENT ADVISERS
ST LOUIS, MO 63131
Some features on this profile are disabled
CRD#: 1383638
CM

Professional summary

Craig William Markham is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA WEALTH SERVICES, LLC located in El Segundo, California.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Craig has worked at 17 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 8, Series 24 and Series 4 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig William Markham'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

Office #1: 11600 Manchester Rd Ste 100, St Louis, MO 63131
RIA
CRD#: 105644
ST LOUIS, MO
Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245
BD
CRD#: 13572
El Segundo, CA
Past

September 3, 2013 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
CHESTERFIELD, MO
Past

March 6, 2013 - September 3, 2013

WALNUT STREET SECURITIES, INC.

RIA
CRD#: 15840
ST. LOUIS, MO
Past

December 14, 2005 - December 5, 2006

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

July 20, 2005 - September 26, 2005

TL&A INSURANCE DISTRIBUTION LLC

BD
CRD#: 131121
HARTFORD, CT
Past

July 20, 2005 - December 12, 2006

MLI DISTRIBUTION LLC

BD
CRD#: 43373
HARTFORD, CT
Past

July 14, 2005 - September 4, 2013

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
ST LOUIS, MO
Past

July 1, 2005 - July 14, 2005

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

November 7, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

November 7, 2003 - September 4, 2013

NEW ENGLAND SECURITIES

BD
CRD#: 615
ST. LOUIS, MO
Past

November 7, 2003 - September 4, 2013

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
ST. LOUIS, MO
Past

December 16, 2002 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

June 11, 1998 - September 3, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
ST. LOUIS, MO
Past

June 21, 1997 - June 1, 1998

MERCANTILE INVESTMENT SERVICES, INC.

BD
CRD#: 19908
ST. LOUIS, MO
Past

November 21, 1989 - June 21, 1997

MARK TWAIN BROKERAGE SERVICES, INC.

BD
CRD#: 16925
Past

June 15, 1989 - December 5, 1989

LASALLE ST SECURITIES, L.L.C.

BD
CRD#: 7191
ELMHURST, IL
Past

May 13, 1988 - July 3, 1989

B.C. CHRISTOPHER SECURITIES CO.

BD
CRD#: 60
KANSAS CITY, MO
Past

November 19, 1986 - June 6, 1988

M.S. KERNS INVESTMENTS, INC.

BD
CRD#: 17882
Past

July 24, 1985 - November 19, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

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
Missouri
(9/3/2013)
IAR
Missouri
(6/29/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/19/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/8/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/14/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/4/1999
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/10/1988
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 24
Date: 6/29/1987
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/4/1987
Registered Options Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644St Louis, MO 63131

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