MK
Mark D. Kutz
CETERA INVESTMENT ADVISERS LLC
COLUMBIA, MD 21045
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CRD#: 1896152
MK
Professional summary
Mark Douglas Kutz is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Columbia, Maryland and CETERA ADVISORS LLC located in Columbia, Maryland.
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 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.
NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
ADDRESS: SAME AS REGISTERD LOCATION,
NATURE OF BUSINESS: FIXED INSURANCE,
START DATE: 8/2016,
APX NUMBER OF HOURS PER WEEK: 40,
APX NUMBER OF TRADING HOURS PER WEEK: 32.5,
POSITION/TITLE/RELATIONSHIP: AGENT,
BRIEF DESCRIPTION OF DUTIES: LIFE, HEALTH, ANNUITIES, LONG TERM CARE, and P & C;
NAME OF OTHER BUSINESS: MDK FINANCIAL, INC.,
INVESTMENT RELATED: NO,
ADDRESS: 5525 TWIN KNOLLS RD #322 COLUMBIA MD 21045,
NATURE OF BUSINESS: RENTAL PROPERTY,
START DATE: 1991,
APX NUMBER OF HOURS PER WEEK: 3,
APX NUMBER OF TRADING HOURS PER WEEK: 3,
POSITION/TITLE/RELATIONSHIP: OWNER,
BRIEF DESCRIPTION OF DUTIES: OWN AND MANAGE RENTAL OF OFFICE;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Douglas Kutz'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5525 Twin Knolls Road Suite 322, Columbia, MD 21045RIA
CRD#: 105644
COLUMBIA, MD
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 5525 Twin Knolls Road Suite 322, Columbia, MD 21045BD
CRD#: 10299
Columbia, MD
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 9, 2009 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
COLUMBIA, MD
Past
April 28, 1995 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
COLUMBIA, MD
Past
February 28, 1990 - April 4, 1995
FIDELITY EQUITY SERVICES CORPORATION
BD
CRD#: 17455
Past
November 23, 1988 - October 4, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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
California(11/25/2024)
RR
Delaware(10/3/2016)
RR
District of Columbia(10/3/2016)
RR
Florida(10/3/2016)
RR
Maryland(10/3/2016)
IAR
Maryland(3/21/2024)
RR
New Jersey(10/3/2016)
RR
New York(10/23/2020)
RR
North Carolina(10/3/2016)
RR
Oklahoma(10/3/2016)
RR
Texas(10/3/2016)
IAR
Texas(3/21/2024)
RR
Virginia(10/3/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
