Craig W. Markham

CETERA INVESTMENT ADVISERS LLC

ST LOUIS, MO 63131

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CRD#: 1383638

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.

1. NAME OF OTHER BUSINESS: ALPHASIGHTS INVESTMENT RELATED: NO ADDRESS: 229 WEST 43RD ST, NEW YORK, NY 10036 NATURE OF BUSINESS: CONSULTING FIRM START DATE: 3/2016 POSITION/TITLE/RELATIONSHIP: CONSULTANT APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: PROVIDE BACKGROUND IN INDUSTRY WEALTH MANAGEMENT PLATFORMS. 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:08/2019; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES;

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

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

CRD#: 7447

SOMERSET, NJ

Past

July 20, 2005 - September 26, 2005

TL&A INSURANCE DISTRIBUTION LLC

CRD#: 131121

HARTFORD, CT

Past

July 20, 2005 - December 12, 2006

MLI DISTRIBUTION LLC

CRD#: 43373

HARTFORD, CT

Past

July 14, 2005 - September 4, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

ST LOUIS, MO

Past

July 1, 2005 - July 14, 2005

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

November 7, 2003 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 7, 2003 - September 4, 2013

NEW ENGLAND SECURITIES

CRD#: 615

ST. LOUIS, MO

Past

November 7, 2003 - September 4, 2013

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ST. LOUIS, MO

Past

December 16, 2002 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

June 11, 1998 - September 3, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

ST. LOUIS, MO

Past

June 21, 1997 - June 1, 1998

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

November 21, 1989 - June 21, 1997

MARK TWAIN BROKERAGE SERVICES, INC.

CRD#: 16925

Past

June 15, 1989 - December 5, 1989

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

May 13, 1988 - July 3, 1989

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

Past

November 19, 1986 - June 6, 1988

M.S. KERNS INVESTMENTS, INC.

CRD#: 17882

Past

July 24, 1985 - November 19, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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".

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

Missouri
(9/3/2013)

IAR

Missouri
(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 65

Date: 2/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/14/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/4/1999

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 10/10/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 6/29/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 5/4/1987

Registered Options Principal 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Craig W. Markham

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig William Markham's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

WALNUT STREET SECURITIES, INC.

CITISTREET EQUITIES LLC

TL&A INSURANCE DISTRIBUTION LLC

MLI DISTRIBUTION LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

NEW ENGLAND SECURITIES

MSI FINANCIAL SERVICES, INC.

NATHAN & LEWIS SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

MERCANTILE INVESTMENT SERVICES, INC.

MARK TWAIN BROKERAGE SERVICES, INC.

LASALLE ST SECURITIES, L.L.C.

B.C. CHRISTOPHER SECURITIES CO.

M.S. KERNS INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/2013

Series 63

Date: 8/8/1985

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 3

Date: 4/14/1989

Series 7

Date: 7/20/1985

Series 53

Date: 12/4/1999

Series 8

Date: 10/10/1988

Series 24

Date: 6/29/1987

Series 4

Date: 5/4/1987

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

Contact information

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