MM
Mark A. Mappa
CETERA INVESTMENT ADVISERS LLC
Deerfield, IL 60062
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CRD#: 1874503
MM
Professional summary
Mark Alan Mappa, CFP®, ChFC®, CLU® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Deerfield, Illinois and CETERA ADVISORS LLC located in Deerfield, Illinois.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 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. NAME OF OTHER BUSINESS: MAPPA WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMPREHENSIVE FINANCIAL PLANNING START DATE: 03/1989 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR, INSURANCE PRODUCER; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/1989 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: RMM INVESTMENT PROPERTIES, LLC AND RM PROPERTY INVESTMENTS, LLC INVESTMENT RELATED: NO ADDRESS: DEERFIELD, IL NATURE OF BUSINESS: REAL ESTATE START DATE: 04/2022 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SUPPORT TO MAKE REAL ESTATE INVESTMENTS. COLLECT RENT; 4. NAME OF OTHER BUSINESS: MARK MAPPA, AUTHOR OF CASH FLOW IS KING BOOK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BOOK SALES FOR MARKETING AND PROSPECTING START DATE: 04/2019 POSITION/TITLE/RELATIONSHIP: OWNER/AUTHOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: AUTHOR OF BOOK, CASH FLOW IS KING;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Mappa'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®
CFP®
Start date: 1996
Experience
Current
December 12, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 400 Skokie Blvd Suite 550, Deerfield, IL 60062RIA
CRD#: 105644
Deerfield, IL
Current
December 10, 2024 - Present
CETERA ADVISORS LLC
Office #1: 400 Skokie Blvd Suite 550, Deerfield, IL 60062BD
CRD#: 10299
Deerfield, IL
Past
January 19, 2024 - December 16, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
NORTHBROOK, IL
Past
January 19, 2024 - December 16, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
NORTHBROOK, IL
Past
March 24, 2016 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
NORTHBROOK, IL
Past
March 24, 2016 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
NORTHBROOK, IL
Past
December 11, 2003 - March 31, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
NORTHFIELD, IL
Past
December 11, 2003 - March 31, 2016
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
NORTHFIELD, IL
Past
March 20, 2002 - December 18, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
GLENVIEW, IL
Past
March 13, 2002 - December 17, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
April 24, 2000 - March 7, 2002
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
March 7, 2000 - May 3, 2000
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
Past
May 17, 1998 - March 9, 2000
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
Past
April 11, 1994 - November 20, 1997
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
March 21, 1989 - April 6, 1994
OSAIC FS, INC.
BD
CRD#: 3870
FORT WAYNE, IN
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
Alabama(12/23/2024)
RR
Arizona(12/17/2024)
RR
Arkansas(1/8/2025)
RR
California(12/11/2024)
RR
Colorado(12/12/2024)
RR
Florida(12/11/2024)
RR
Georgia(12/12/2024)
RR
Illinois(12/12/2024)
IAR
Illinois(12/12/2024)
RR
Indiana(12/13/2024)
RR
Iowa(12/12/2024)
RR
Kansas(12/16/2024)
RR
Kentucky(1/9/2025)
RR
Louisiana(8/8/2025)
RR
Maine(12/13/2024)
RR
Massachusetts(12/10/2024)
RR
Michigan(12/13/2024)
RR
Minnesota(12/17/2024)
RR
Missouri(1/31/2025)
RR
Nevada(12/16/2024)
RR
New Hampshire(12/17/2024)
RR
New Jersey(12/12/2024)
RR
New York(12/24/2024)
RR
North Carolina(12/17/2024)
RR
Ohio(12/11/2024)
RR
Oregon(12/17/2024)
RR
Pennsylvania(12/16/2024)
RR
Rhode Island(12/16/2024)
RR
South Carolina(12/13/2024)
RR
Tennessee(12/12/2024)
IAR
Texas(12/12/2024)
RR
Texas(12/14/2024)
RR
Utah(12/11/2024)
RR
Vermont(12/16/2024)
RR
Washington(1/30/2025)
RR
Wisconsin(12/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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
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.
