Mark A. Davy

CETERA INVESTMENT ADVISERS LLC

SARASOTA, FL 34236

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CRD#: 1501447

Professional summary

Mark Alan Davy is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sarasota, Florida and CETERA WEALTH SERVICES, LLC located in Sarasota, Florida.

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 10 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) SOUTHBAY INVESTMENT GROUP; INVESTMENT RELATED; SAME ADDRESS AS REGISTERED BRANCH; DBA FOR B/D, RIA ACTIVITIES; OWNER; 12/01/2003; APPX 45 HOURS/MONTH; APPX 45 HOURS/MONTH DURING TRADING; FINANCIAL ADVISOR TO CLIENTS. BROKER DEALER AND ADVISORY CLIENTS. 2) NAME OF OTHER BUSINESS: DEWAR GROUP, INC.; INVESTMENT RELATED: NO; ADDRESS: 665 ORANGE AVENUE, SUITE 5 SARASOTA, FL 34236; NATURE OF BUSINESS: REAL ESTATE BROKERAGE; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: SALE AND OR MANAGE REAL ESTATE TRANSACTIONS, RESIDENTIAL AND/OR COMMERCIAL PROPERTIES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Davy'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

April 7, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 665 S. Orange Avenue Suite 4, Sarasota, FL 34236

RIA

CRD#: 105644

SARASOTA, FL

Current

August 22, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 665 S. Orange Avenue Suite 4, Sarasota, FL 34236

CRD#: 13572

SARASOTA, FL

Past

March 12, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

SARASOTA, FL

Past

November 20, 2018 - May 20, 2021

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

SARASOTA, FL

Past

October 26, 2018 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

SARASOTA, FL

Past

March 1, 2007 - May 30, 2018

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

SARASOTA, FL

Past

March 1, 2007 - May 30, 2018

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

SARASOTA, FL

Past

May 26, 2005 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

RIA

CRD#: 36405

SARASOTA, FL

Past

February 24, 2004 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

SARASOTA, FL

Past

June 17, 1994 - March 11, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SARASOTA, FL

Past

June 17, 1994 - March 11, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 1, 1988 - July 13, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 3, 1986 - December 7, 1988

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Past

May 13, 1986 - September 2, 1986

TURNER & SELLHORN SECURITIES, INC.

CRD#: 16963

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

California
(9/20/2019)

Colorado
(9/20/2019)

Florida
(9/9/2019)

IAR

Florida
(4/7/2023)

Maine
(6/6/2025)

Maryland
(9/20/2019)

Nevada
(9/20/2019)

New York
(9/20/2019)

North Carolina
(9/20/2019)

Pennsylvania
(9/20/2019)

South Carolina
(8/9/2022)

Texas
(9/20/2019)

IAR

Texas
(6/29/2023)

Virginia
(5/27/2021)

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: 11/7/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/12/1986

Investment Company Products/Variable Contracts Representative 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.

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Advisor Monitoring

Firm Stability Insights

Mark A. Davy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Alan Davy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

CAPITAL SECURITIES OF AMERICA, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

TURNER & SELLHORN SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/7/1994

Series 63

Date: 9/24/1985

SIE

Date: 5/30/2018

Series 7

Date: 11/15/1986

Series 6

Date: 5/12/1986

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

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