MB
Mark A. Blais
CETERA WEALTH SERVICES
SAN DIEGO, CA 92101
Some features on this profile are disabled
CRD#: 2117784
MB
Professional summary
Mark Andrew Blais, who also goes by Mark A Blais, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in San Diego, California and CETERA INVESTMENT SERVICES LLC located in San Diego, California.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1991. Mark has worked at 11 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 26, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mark A Blais
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Andrew Blais'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 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101BD
CRD#: 13572
SAN DIEGO, CA
Current
June 10, 2021 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101BD
CRD#: 15340
SAN DIEGO, CA
Current
June 10, 2021 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101BD
CRD#: 10358
SAN DIEGO, CA
Current
June 10, 2021 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway12th Fl, San Diego, CA 92101BD
CRD#: 10299
SAN DIEGO, CA
Past
June 10, 2021 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
EL SEGUNDO, CA
Past
October 8, 2013 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
October 11, 2012 - February 15, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FORT LAUDERDALE, FL
Past
March 30, 2012 - June 18, 2012
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
December 12, 2008 - February 16, 2010
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
December 12, 2008 - November 4, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
December 8, 2006 - November 12, 2008
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
June 20, 2000 - December 4, 2004
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
June 20, 2000 - November 30, 2006
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 29, 1991 - January 26, 2000
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(6/10/2021)
RR
Alaska(6/10/2021)
RR
Arizona(6/10/2021)
RR
Arkansas(6/10/2021)
RR
California(6/10/2021)
RR
Colorado(6/10/2021)
RR
Connecticut(6/9/2021)
RR
Delaware(6/10/2021)
RR
District of Columbia(6/10/2021)
RR
Florida(6/10/2021)
RR
Georgia(6/10/2021)
RR
Hawaii(6/10/2021)
RR
Idaho(6/10/2021)
RR
Illinois(6/10/2021)
RR
Indiana(6/10/2021)
RR
Iowa(6/10/2021)
RR
Kansas(6/10/2021)
RR
Kentucky(6/10/2021)
RR
Louisiana(6/10/2021)
RR
Maine(6/10/2021)
RR
Maryland(6/10/2021)
RR
Massachusetts(6/10/2021)
RR
Michigan(6/10/2021)
RR
Minnesota(6/10/2021)
RR
Mississippi(6/10/2021)
RR
Missouri(6/10/2021)
RR
Montana(6/10/2021)
RR
Nebraska(6/10/2021)
RR
Nevada(6/10/2021)
RR
New Hampshire(6/10/2021)
RR
New Jersey(6/10/2021)
RR
New Mexico(6/10/2021)
RR
New York(6/10/2021)
RR
North Carolina(6/10/2021)
RR
North Dakota(6/10/2021)
RR
Ohio(6/10/2021)
RR
Oklahoma(6/10/2021)
RR
Oregon(6/10/2021)
RR
Pennsylvania(6/10/2021)
RR
Puerto Rico(1/26/2022)
RR
Rhode Island(6/10/2021)
RR
South Carolina(6/10/2021)
RR
South Dakota(6/10/2021)
RR
Tennessee(6/10/2021)
RR
Texas(6/10/2021)
RR
Utah(6/10/2021)
RR
Vermont(6/10/2021)
RR
Virginia(6/10/2021)
RR
Washington(6/10/2021)
RR
West Virginia(6/10/2021)
RR
Wisconsin(6/10/2021)
RR
Wyoming(6/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CA
CETERA ADVISORS LLC
CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES
CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111
Mailing Address
400 First Street South Suite 300, Saint Cloud, MN 56301
Phone number
(800) 929-3485
Established
Delaware since 08/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,138
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
