MB
Mark I. Bass
CETERA INVESTMENT ADVISERS LLC
LUBBOCK, TX 79424
Some features on this profile are disabled
CRD#: 14422
MB
Professional summary
Mark Ivan Bass, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lubbock, Texas and CETERA ADVISORS LLC located in Lubbock, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Mark has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1, Series 51 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.FIXED INSURANCE, LIFE/HEALTH/DISABILITY ANNUITIES/LONG-TERM CARE 2. NAME OF OTHER BUSINESS: PENNINGTON, BASS & ASSOCIATES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMPREHENSIVE FINANCIAL PLANNING START DATE: 1/2011 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF TRADING HOURS PER WEEK: 32.5 POSITION/TITLE/RELATIONSHIP: CFP & AIF BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES| 3. LUBBOCK DOWNTOWN DEVELOPMENT CORPORATION, NOT INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START JANUARY 2013, REAL ESTATE DEVELOPMENT, BOARD MEMBER, 1HR/WK. 4. NAME OF OTHER BUSINESS: CA'SANTUCCIO LLC ; INVESTMENT RELATED: NO ; ADDRESS: 701 DRY BRIDGE ROAD, CHARLOTTESVILLE, VA 22903 ; NATURE OF BUSINESS: VACATION HOME ; START DATE: 01/1998 ; POSITION/TITLE/RELATIONSHIP: CO-OWNER / MANAGER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: COORDINATE SCHEDULES OF OTHER OWNERS AND ARRANGE FOR MAINTENANCE AND REPAIRS ; 5. NAME OF OTHER BUSINESS: COMMUNITY FOUNDATION OF WEST TEXAS; INVESTMENT RELATED: NO; ADDRESS: 6102 82ND STREET SUITE 8B LUBBOCK, TX 79424; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: INVESTMENT COMMITTEE CHAIR; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: SET MEETING AND AGENDAS, REVIEW FINANCIALS AND INVESTMENTS TO SUBMIT TO BOARD FOR VOTE AND DECISION;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ivan Bass'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: 1975
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 12513 Quaker Avenue, Lubbock, TX 79424RIA
CRD#: 105644
LUBBOCK, TX
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 7818 Orlando Ave, Lubbock, TX 79423BD
CRD#: 10299
Lubbock, TX
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
May 31, 1996 - February 27, 2003
BTS ASSET MANAGEMENT, INC.
RIA
CRD#: 105215
LUBBOCK, TX
Past
April 14, 1992 - January 1, 2004
IFG ADVISORY SERVICES INC
RIA
CRD#: 105316
LUBBOCK, TX
Past
April 10, 1992 - January 2, 2004
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
March 17, 1989 - June 10, 1992
DERAND/PENNINGTON/BASS, INC.
BD
CRD#: 4679
Past
August 11, 1983 - March 17, 1989
PENNINGTON/BASS EQUITIES, INC.
BD
CRD#: 13765
Past
October 8, 1981 - August 16, 1983
FINANCIAL SYNERGIES EQUITIES, INC.
BD
CRD#: 7550
Past
March 24, 1975 - October 13, 1981
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
September 7, 1973 - April 15, 1974
FUNDAMENTAL SERVICE CORPORATION
BD
CRD#: 337
Past
September 7, 1973 - April 10, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
BD
CRD#: 292
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(6/22/2017)
RR
Arkansas(1/12/2005)
RR
California(1/1/2004)
RR
Colorado(1/1/2004)
RR
District of Columbia(1/1/2004)
RR
Florida(1/1/2004)
RR
Georgia(1/1/2004)
RR
Idaho(10/18/2011)
RR
Illinois(1/1/2004)
RR
Kansas(3/19/2019)
RR
Kentucky(3/30/2006)
RR
Massachusetts(1/1/2004)
RR
Mississippi(2/24/2016)
RR
Missouri(3/14/2014)
RR
Nevada(6/18/2014)
RR
New Mexico(1/1/2004)
RR
New York(1/1/2004)
RR
North Carolina(1/8/2007)
RR
Ohio(1/1/2004)
RR
Oklahoma(1/1/2004)
RR
Oregon(5/18/2018)
RR
Texas(1/1/2004)
IAR
Texas(3/21/2024)
RR
Virginia(1/1/2004)
RR
Wisconsin(7/2/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/4/1973
Registered Representative ExaminationPrincipal/Supervisory 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.
