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Mark George Hendrix

Mark George Hendrix

CFP®
CETERA INVESTMENT ADVISERS
OLEAN, NY
·CRD# 1682134·38 years experience

Professional Summary

Mark George Hendrix, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Olean, New York and CETERA WEALTH SERVICES, LLC located in Olean, New York. Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 2008

Years of Experience

38 years in the financial services industry

Current & Past Employments

CETERA INVESTMENT ADVISERS LLC·CRD# 105644
RIA
128 S Union St, Olean, NY 14760
June 29, 2023 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
128 S Union St, Olean, NY 14760
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
El Segundo, CA
March 31, 2021 - June 29, 2023
TOWER SQUARE SECURITIES, INC.·CRD# 833
BD
Olean, NY
February 18, 1999 - September 3, 2013
GUARDIAN INVESTOR SERVICES LLC·CRD# 6635
BD
New York, NY
August 2, 1989 - February 22, 1999
TOWER SQUARE SECURITIES, INC.·CRD# 833
BD
El Segundo, CA
December 16, 1987 - February 14, 1990

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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 - SEC (1/13/1984 Approved)

Contact Information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Phone Number

(310) 257-7880

# of Employees

10,251

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

813,961

AUM (Assets Under Management)

$256,813,748,739

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2026Cover PageReport
10/27/2025Cover PageReport
12/13/2024Cover PageReport
09/26/2023Cover PageReport

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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) INDEPENDENT INSURANCE AGENT, DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, PROPERTY & CASUALTY, FOR 35HRS/WK & 3HRS EVENING & WKENDS, SINCE 1987;
(2) OWNER/PRODUCER BOTH, BRANCH & HENDRIX, INC, HOLCOMB AGENCY, INC, BUDGET AUTO HOME OF NY, INC, TYPE OF BUSINESS: PROPERTY & CASUALTY INSURANCE, RECEIVE COMPENSATION FOR P&C BUSINESS, ALSO COMPENSATION FROM THIRD PARTIES FOR GROUP HEALTH INSURANCE PRODUCTS, FOR 5HRS/WK & 1HR EVENING & WKENDS, SINCE 1987;
(3) TAX PREPARER, TAX PREP FOR LOCAL H&R BLOCK FRANCHISEE, 10 SECURITIES TRADING HOURS WEEKLY, 10 NON SECURITIES TRADING HOURS WEEKLY, START DATE 12/2011;
(4) CLASSROOM INSTRUCTOR AT JAMESTOWN COMMUNITY COLLEGE, FOR UNDERGRAD CLASS ON MACROECONOMICS, 3 SECURITIES TRADING HOURS WEEKLY, 3 NON SECURIITES TRADING HOURS WEEKLY, START DATE 1/2013;
(5) TRUNORTH FINANCIAL ADVISORS, LLC, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 09/15/2014, 60HRS/WK (32.5 TRADING HOURS), CEO, COO, CFO, SOLE SHAREHOLDER & ONLY EMPLOYEE;
(6) NAME OF OTHER BUSINESS: H & R BLOCK FRANCHISE, FOX FINANCIAL INVESTMENT RELATED: NO ADDRESS: 487 N. UNION ST. OLEAN, NY 14760 NATURE OF BUSINESS: TAX PREP & FILING START DATE: 01/09/2016 POSITION/TITLE/RELATIONSHIP: TAX PREP APX NUMBER OF HOURS PER WEEK: 8 HOURS APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: PREPARE AND FILE TAX RETURNS
(7) NAME OF OTHER BUSINESS: FIRST PRESBYTERIAN CHURCH OF PORTVILLE, NY INVESTMENT RELATED: NO ADDRESS: 19 N MAIN ST PORTVILLE, NY 14770 NATURE OF BUSINESS: RELIGIOUS CHURCH START DATE: 1/2016 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF TRADING HOURS PER WEEK: 1 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER BRIEF DESCRIPTION OF DUTIES: GENERAL BOARD MEMBER DUTIES ;
(8) NAME OF OTHER BUSINESS: SENIOR PERKS PLUS LLC ; INVESTMENT RELATED: NO ; ADDRESS: 128 SOUTH UNION ST, OLEAN NY 14760 ; NATURE OF BUSINESS: INSURANCE START DATE: 01/2022 ; POSITION/TITLE/RELATIONSHIP: SHAREHOLDER / PRODUCER ; APX NUMBER OF HOURS PER WEEK: 15 ; APX NUMBER OF HOURS DURING TRADING HOURS: 15 ; BRIEF DESCRIPTION OF DUTIES: SALES AND SERVICE OF PRODUCTS TO CLIENTS:
(9)NAME OF OTHER BUSINESS: FIRST PRESBYTERIAN CHURCH OF PORTVILLE, INVESTMENT RELATED: NO, ADDRESS: 19 N MAIN ST, PORTVILLE, NY, 14770, NATURE OF BUSINESS: CHURCH, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: HEAD GROUNDS KEEPER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: MAINTAIN EQUIPMENT USED IN UPKEEP OF CHURCH PROPERTY, MOWING, RAKE LEAVES;;
(10)NAME OF OTHER BUSINESS: FIRST PRESBYTERIAN CHURCH OF PORTVILLE, INVESTMENT RELATED: NO, ADDRESS: 19 N MAIN ST, PORTVILLE, NY, 14770, NATURE OF BUSINESS: CHURCH, START DATE: 08/2023, POSITION/TITLE/RELATIONSHIP: CHAIR OF FINANCE COMMITTEE, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: REVIEW INVESTMENT REPORTS; BE PART OF GROUP DECISIONS ON SELLING INVESTMENTS TO FUND CHURCHES OPERATIONAL NEEDS;

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Colorado
(11/9/2022)
RR
Delaware
(9/3/2013)
RR
District of Columbia
(7/25/2025)
RR
Florida
(9/3/2013)
RR
New York
(9/3/2013)
IAR
New York
(6/29/2023)
RR
North Carolina
(1/5/2017)
RR
Ohio
(8/27/2014)
RR
Oregon
(8/14/2024)
RR
Pennsylvania
(9/3/2013)
RR
South Carolina
(8/3/2018)
RR
Tennessee
(2/6/2019)
RR
Texas
(2/6/2019)
IAR
Texas
(6/29/2023)
RR
Virginia
(2/27/2020)
RR
Washington
(2/10/2016)
RR
Wyoming
(4/1/2022)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1987About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Mark George Hendrix's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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