Mark E. Zorn

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CRD#: 2056837

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 Elliot Zorn was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1991. Mark had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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: RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: COLORADO SPRINGS, CO 80809; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 11/2020; POSITION/TITLE/RELATIONSHIP: CO-OWNER APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: HOME REPAIR 2. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES DBA; START DATE: 06/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL SERVICES

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - August 8, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ADDISON, TX

Past

June 21, 2022 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ADDISON, TX

Past

June 21, 2022 - August 8, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ADDISON, TX

Past

April 20, 2016 - June 22, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

WACO, TX

Past

February 16, 2007 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

WACO, TX

Past

January 9, 2007 - June 22, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

WACO, TX

Past

October 27, 2005 - December 31, 2006

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

WACO, TX

Past

August 5, 2003 - December 31, 2003

MOMENTUM INDEPENDENT NETWORK INC.

RIA

CRD#: 17587

WACO, TX

Past

August 5, 2003 - December 31, 2006

MOMENTUM INDEPENDENT NETWORK INC.

CRD#: 17587

WACO, TX

Past

June 7, 2002 - August 7, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WACO, TX

Past

June 7, 2002 - August 7, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 3, 1999 - May 31, 2002

INVESTORS BROKERAGE OF TEXAS, LTD.

CRD#: 13037

WACO, TX

Past

February 2, 1999 - May 3, 1999

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

December 14, 1995 - December 22, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 6, 1995 - December 19, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 25, 1992 - March 9, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

April 8, 1991 - March 23, 1992

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

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".

CETERA INVESTMENT ADVISERS LLC

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/1991

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Mark E. Zorn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

MOMENTUM INDEPENDENT NETWORK INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INVESTORS BROKERAGE OF TEXAS, LTD.

OSAIC FA, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

A. G. EDWARDS & SONS, INC.

PAULSON INVESTMENT COMPANY LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/2002

Series 63

Date: 3/27/1991

SIE

Date: 10/1/2018

Series 7

Date: 4/4/1991

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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