MN
Mark L. Neuenswander
CETERA INVESTMENT ADVISERS LLC
Murray, UT 84107
Some features on this profile are disabled
CRD#: 1403599
MN
Professional summary
Mark Lee Neuenswander is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Murray, Utah and CETERA WEALTH SERVICES, LLC located in Murray, Utah.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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. SALE OF FIXED INSURANCE - (LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE). WORK AT UTAH POWER CREDIT UNION. 2.2. NAME OF OTHER BUSINESS: UTAH POWER CREDIT UNION, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION POSITION/TITLE/RELATIONSHIP: REGISTERED REP START DATE: 02/2020, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SEVICES OF B/D ON CREDIT UNION PREMISES 3. NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS INVESTMENT RELATED: YES ADDRESS: 1265 FORT UNION BLVD #115 COTTONWOOD HEIGHTS UT 84047 NATURE OF BUSINESS: INVESTMENT SERVICES TO NON CREDIT UNION CLIENTS START DATE: 2/2016 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF TRADING HOURS PER WEEK: 4 POSITION/TITLE/RELATIONSHIP: FINANCIAL CONSULTANT BRIEF DESCRIPTION OF DUTIES: INVESTMENT OPTIONS, MUTUAL FUNDS, ANNUITIES; 4. NAME OF OTHER BUSINESS: GREATER NEVADA CREDIT UNION AND/OR GREATER NEVADA FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; START DATE: 3/2023; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PLACE/HANDLE/RECOMMEND SECURITIES TRANSACTIONS, MAKE INVESTMENT DECISIONS; 5. NAME OF OTHER BUSINESS: PEAK GC THREE LLC; INVESTMENT RELATED: NO ; ADDRESS: 114 WEST WINCHESTER STREET MURRAY, UT 84107; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY INVESTMENT; 6. NAME OF OTHER BUSINESS: M & N RETIREMENT LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: DBA TO PAY EXPENSES;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Lee Neuenswander'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 114 W Winchester Street, Suite 100, Murray, UT 84107RIA
CRD#: 105644
Murray, UT
Current
June 4, 2003 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 114 W Winchester Street, Suite 100, Murray, UT 84107BD
CRD#: 13572
Murray, UT
Past
April 7, 2006 - March 31, 2008
INSPHERE SECURITIES, INC.
BD
CRD#: 136433
SALT LAKE CITY, UT
Past
June 24, 2003 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SALT LAKE CITY, UT
Past
May 15, 2001 - June 24, 2003
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
MURRAY, UT
Past
April 8, 1994 - June 24, 2003
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
January 15, 1992 - April 15, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 15, 1992 - April 15, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
April 5, 1991 - December 20, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
April 14, 1986 - March 4, 1991
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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
Arizona(2/22/2016)
RR
California(6/4/2003)
RR
Colorado(4/21/2010)
RR
Illinois(1/14/2008)
RR
Michigan(7/15/2024)
RR
Nebraska(1/7/2022)
RR
Nevada(5/11/2010)
RR
Texas(3/27/2024)
IAR
Texas(3/27/2024)
RR
Utah(6/4/2003)
IAR
Utah(6/29/2023)
RR
Washington(4/29/2013)
RR
Wyoming(6/4/2003)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
