Mark S. Banner
CETERA INVESTMENT ADVISERS LLC
WARRENSBURG, MO 64093
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CRD#: 2055606
Professional summary
Mark S Banner, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Warrensburg, Missouri and CETERA ADVISORS LLC located in Warrensburg, Missouri.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Mark has worked at 7 firms and has passed the 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: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 8/2017 APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITY, ANNUITIES, & LONG TERM CARE; 2.NAME OF OTHER BUSINESS: G.O. INVESTMENTS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: RENTAL PROPERTIES START DATE: 3/2006 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: CO-OWNER BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES 3.NAME OF OTHER BUSINESS: MURDOCK BANNER FINANCIAL GROUP LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: MEMBER/CO-OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: CACHE MOUNTAIN HONEY, LLC DBA COX HONEY, INVESTMENT RELATED: NO, ADDRESS: 795 NORTH 8000 WEST, PETERSBORO, UT 84325, NATURE OF BUSINESS: BEE POLLINATION AND HONEY PRODUCTION, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER WEEK: 20, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: LEARN BUSINESS THROUGH 2024; 5. NAME OF OTHER BUSINESS: TUPAI HOLDING COMPANY LLC INVESTMENT RELATED: NO; ADDRESS: 175 CEDAR CIRCLE IRWIN, ID 83428; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 04/2024; POSITION/TITLE/RELATIONSHIP: SOLE OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 2; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 2; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY TO HOLD AND CONSOLIDATE ASSETS; 6. NAME OF OTHER BUSINESS: WBG HOLDING COMPANY, LLC INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: HOLDING COMPANY, START DATE: 07/2024, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: CREATED TO RECEIVE DISTRIBUTIONS FROM OTHER LLCS; 7. NAME OF OTHER BUSINESS: COUGAR MOUNTAIN HOLDING CO, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: HOLDING COMPANY, START DATE: 09/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: LLC TO HOLD PERSONAL ASSETS; 8. NAME OF OTHER BUSINESS: GOLDEN RAGE HOLDING COMPANY, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: REAL ESTATE HOLDING COMPANY, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20, BRIEF DESCRIPTION OF DUTIES: SEARCHING AND PURCHASING TARGET PROPERTIES FOR RENTAL OPPORTUNITIES, MONITORING PROPERTIES;
CRS (Client Relationship Summary) - RIA
Click below to view Mark S Banner'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: 1988
Experience
Current
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 206 S Holden, Warrensburg, MO 64093RIA
CRD#: 105644
WARRENSBURG, MO
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 206 S Holden, Warrensburg, MO 64093BD
CRD#: 10299
Warrensburg, MO
Past
January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SWAN VALLEY, ID
Past
April 27, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
RIA
CRD#: 10332
WARRENSBURG, MO
Past
March 3, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
Past
July 17, 1998 - March 3, 1999
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
April 13, 1995 - July 14, 1998
SIGNAL SECURITIES, INC.
BD
CRD#: 15916
FORT WORTH, TX
Past
July 5, 1994 - April 13, 1995
FIDELITY EQUITY SERVICES CORPORATION
BD
CRD#: 17455
Past
February 12, 1992 - June 1, 1994
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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
Idaho(4/10/2013)
IAR
Idaho(3/21/2024)
RR
Missouri(1/1/2004)
IAR
Missouri(3/21/2024)
Exams
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.
