MS
Mark A. Spivack
CETERA INVESTMENT ADVISERS LLC
Norwood, NJ
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CRD#: 1793038
MS
Professional summary
Mark Alan Spivack, who also goes by Mark A Spivack, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Norwood, New Jersey and MML INVESTORS SERVICES, LLC located in New York, New York.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark A Spivack
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) NAME OF ENTITY: Englewood Hospital and Medical Center Foundation; No; 350 Engle Street; Englewood; NJ; 01631; Hospital Foundation; board of trustee; 9/21/2011; 4; 0; Provide leadership that best utilizes the trustee's level of expertise and influence in securing personal and community financial support. (2) NAME OF ENTITY: The Weiss Group ; Yes; 155 East 44th St, 12th Floor, New York, NY 10017; Financial Services/DBA; Associate; 7/6/1993; 160; 160; Sales, Insurance, Securities, and Investment Products. (3) NAME OF ENTITY: Independent Insurance Agent; YES; 155 East 44th St, 12th Floor, New York, NY 10017; Fixed Insurance Sales Life Disability, LTC, Fixed Annuities, Health; Independent Insurance Agent ; 5/28/2009; 160; 160; Sales of fixed insurance products.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Spivack'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 155 East 44th Street 12th Floor, New York, NY 10017RIA
CRD#: 105644
Norwood, NJ
Current
March 25, 2017 - Present
MML INVESTORS SERVICES, LLC
Office #1: 155 East 44th St 12th Floor, New York, NY 10017RIA
BD
CRD#: 10409
New York, NY
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 155 East 44th Street 12th Floor, New York, NY 10017BD
CRD#: 13572
NEW YORK, NY
Past
July 1, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 14, 2021 - August 17, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEW YORK, NY
Past
June 28, 2000 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW YORK, NY
Past
July 6, 1993 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
NEW YORK, NY
Past
May 11, 1993 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 23, 1988 - June 8, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
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(8/11/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Connecticut(6/9/2021)
RR
Delaware(6/9/2021)
RR
District of Columbia(6/9/2021)
RR
Florida(3/25/2017)
RR
Maine(6/10/2025)
RR
Maryland(6/9/2021)
RR
Massachusetts(6/9/2021)
RR
New Jersey(3/25/2017)
IAR
New Jersey(11/21/2024)
RR
New York(3/25/2017)
IAR
New York(6/29/2023)
RR
North Carolina(6/9/2021)
RR
Ohio(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
RR
Vermont(6/9/2021)
RR
Washington(6/9/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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
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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.
