ML
Mark A. Leone
CETERA INVESTMENT ADVISERS LLC
MILFORD, MA 01757-1741
Some features on this profile are disabled
CRD#: 2288200
ML
Professional summary
Mark Anthony Leone is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Milford, Massachusetts and CETERA WEALTH SERVICES, LLC located in Milford, Massachusetts.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Mark has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 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) MARK LEONE, EA, CFS POSITION: Insurance Sales Agent NATURE: Independent Insurance Agent INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/28/1993 ADDRESS: 100 Medway Road, Suite 202, Milford MA 01757, United States DESCRIPTION: Sale of fixed insurance products not including indexed products 2) GILPIN CPA INC POSITION: Share Common Area Office Space NATURE: Pay rent for our locked separate offices. They are not licensed for investment or insurance. They refer investment and insurance business. We refer tax preparation business INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2022 ADDRESS: 100 Medway Road, Suite 202, Milford MA 01757, United States DESCRIPTION: See above
CRS (Client Relationship Summary) - RIA
Click below to view Mark Anthony Leone'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Medway Road Suite 202, Milford, MA 01757-1741RIA
CRD#: 105644
MILFORD, MA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Medway Road Suite 202, Milford, MA 01757-1741BD
CRD#: 13572
MILFORD, MA
Past
April 14, 1994 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MILFORD, MA
Past
January 27, 1993 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MILFORD, MA
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
Connecticut(9/18/2025)
RR
Delaware(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Maine(9/5/2025)
RR
Massachusetts(9/5/2025)
IAR
Massachusetts(9/5/2025)
RR
New Hampshire(9/18/2025)
RR
North Carolina(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
Virginia(9/5/2025)
Exams
State Security Law Exam
General Industry/Product 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Milford, MA 01757-1741TRUST BUT VERIFY
Monitor Mark Leone
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
