MB
Mark I. Baca
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94520
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CRD#: 1455005
MB
Professional summary
Mark Ira Baca, AIF®, who also goes by Mark I Baca, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
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 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark I Baca
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. SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, LTC AND GROUP INS.; 2.NAME OF OTHER BUSINESS: THE BACA GROUP, INC. DBA MARK T BACA INSURANCE SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 3/1997 POSITION/TITLE/RELATIONSHIP: REPRESENTITIVE APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE BUSINESS 3.NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: 703 CAMINO WAY WOODLAND, CA 95695 NATURE OF BUSINESS: RENTAL HOME START DATE: 2008 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: 50% OWNER BRIEF DESCRIPTION OF DUTIES: NONE, WIFE MANAGES PROPERTY 4.NAME OF OTHER BUSINESS: CANON RENTAL INVESTMENT RELATED: NO ADDRESS: 2990 RIDGEVIEW DR. EL DORADO HILLS CA NATURE OF BUSINESS: RENTAL HOME START DATE: 2007 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: 50% OWNER BRIEF DESCRIPTION OF DUTIES: PREPARE TAX RETURN 5.NAME OF OTHER BUSINESS: AMERICAN RIVER WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE INSURANCE & ESTATE PLANNING START DATE: 1/2017 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INDEPENDENT CONSULTANT BRIEF DESCRIPTION OF DUTIES: SALE OF LIFE & HEALTH INSURANCE & ESTATE PLANNING 6. NAME OF OTHER BUSINESS: MARK BACA CLU & ASSOCIATES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 09/1971; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ira Baca'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®
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 3100 Zinfandel Dr Ste 255, Rancho Cordova, CA 95670RIA
CRD#: 105644
CONCORD, CA
Current
April 4, 1997 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1390 Willow Pass Rd Ste 900, Concord, CA 94520Office #2: 3100 Zinfandel Dr Ste 255, Rancho Cordova, CA 95670BD
CRD#: 13572
Concord, CA
Past
March 24, 1999 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
RANCHO CORDOVA, CA
Past
March 16, 1995 - May 15, 1997
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
CINCINNATI, OH
Past
December 17, 1992 - March 2, 1995
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
April 6, 1987 - December 31, 1992
PLANNED INVESTMENTS INC.
BD
CRD#: 5066
ATLANTA, GA
Past
February 20, 1986 - March 30, 1987
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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(4/2/1998)
RR
California(4/8/1997)
IAR
California(6/29/2023)
RR
Colorado(3/5/2018)
RR
Idaho(1/8/2018)
RR
New Hampshire(1/3/2024)
RR
North Dakota(2/18/2020)
RR
Utah(1/5/2023)
RR
Washington(3/22/2011)
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
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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)
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#: 105644Concord, CA 94520TRUST BUT VERIFY
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