Mark L. Page
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Loren Page was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1988. Mark had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - January 5, 2026
CETERA INVESTMENT ADVISERS LLC
August 24, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
August 24, 2020 - January 5, 2026
CETERA WEALTH SERVICES, LLC
March 12, 2018 - July 24, 2020
CWM, LLC
January 17, 2018 - June 16, 2020
CETERA WEALTH SERVICES, LLC
January 11, 2016 - November 10, 2017
SII INVESTMENTS, INC.
January 11, 2016 - November 10, 2017
INVESTMENT CENTERS OF AMERICA, INC.
January 11, 2016 - November 10, 2017
INVEST FINANCIAL CORPORATION
February 6, 2014 - November 10, 2017
NATIONAL PLANNING CORPORATION
August 6, 2009 - November 10, 2017
NATIONAL PLANNING CORPORATION
June 14, 2007 - March 5, 2009
CAPITAL BROKERAGE CORPORATION
January 22, 2002 - June 1, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
October 31, 2001 - January 11, 2002
TCF INVESTMENTS, INC.
February 23, 2000 - July 6, 2001
MFS FUND DISTRIBUTORS, INC.
October 9, 1997 - January 12, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 25, 1993 - October 15, 1997
U.S. BANCORP INVESTMENTS, INC.
March 6, 1992 - October 27, 1993
IDS LIFE INSURANCE COMPANY
March 6, 1992 - October 27, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 1989 - December 13, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1988 - December 2, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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 |
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.
