Mark G. Finke
CETERA INVESTMENT ADVISERS LLC
POPLAR BLUFF, MO 63901
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CRD#: 2345661
Professional summary
Mark Gerard Finke, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Poplar Bluff, Missouri and CETERA FINANCIAL SPECIALISTS LLC located in Poplar Bluff, Missouri.
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 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Estate Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Investment Planning
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) MSMF WEALTH MANAGEMENT, DBA NAME FOR INVESTMENT PRACTICE THROUGH CETERA; ENTITY IS INV. RELATED; SAME AS REGISTERED LOCATION; PERSONAL BRAND FOR WEALTH MANAGMENT BUSINESS; PARTNER; SINCE 01/2019; 120 HRS/MONTH DURING SECURITIES TRADING HOURS: 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 4/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 POSITION/TITLE/RELATIONSHIP: AGENT BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, DISABILITY, ANNUITIES, AND LONG TERM CARE. 3) BOOK WRITTEN TITLED 'SO YOU THINK YOU ARE READY TO RETIRE', NOT INVEST REL, SAME AS REGISTERED LOCATION, BOOK, START 07/09/14, 3-5HRS TOTAL, CO-AUTHOR. 4) NAME OF OTHER BUSINESS: LIFE BRIDGE INSURANCE SOLUTIONS; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION START DATE: 11/2017 NATURE OF BUSINESS: INSURANCE BROKERAGE AGENCY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: PARTNER BRIEF DESCRIPTION OF DUTIES: ASSITANCE WITH CARRIER SELECTION, PRODUCT DESIGNS, UNDERWRITTEN ADVOCACY AND ADVICE 5) NAME OF OTHER BUSINESS: CCP HOCKEY ENDOWMENT, INVESTMENT RELATED: NO, ADDRESS: 3660 S GEYER RD, SUNSET HILLS, MO, 63127, NATURE OF BUSINESS: ENDOWMENT FUND, START DATE:09/2021, POSITION/TITLE/RELATIONSHIP: REGISTERED AGENT, LESS THAN ONE HOUR PER WEEK, MAY BE DURING MARKET HOURS, BRIEF DESCRIPTION OF DUTIES: RECEIVE MAILINGS FROM THE STATE OF MISSOURI; 6) CHAMINADE HOCKEY CLUB; VICE PRESIDENT; NOT INV RELATED; PLAN, COORDINATE, MANAGE HOCKEY PROGRAM FOR LOCAL PRIVATE BOYS HIGH SCHOOL; SINCE 10/2023; 5 HRS/WK: 7) NAME OF OTHER BUSINESS: FIRST LIDO CONDO ASSOC; INVESTMENT RELATED: NO; ADDRESS: 1900 BEN FRANKLIN DR SARASOTA, FL 34236; NATURE OF BUSINESS: CONDO OWNERS ASSOCIATION; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP: BOARD PRESIDENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: OVERSEE OPERATIONS OF THE OWNERS ASSOCIATION; 8) NAME OF OTHER BUSINESS: PHI KAPPA THETA OF COLUMBIA ALUMNI ASSOC; INVESTMENT RELATED: NO; ADDRESS: 100 S BRENTWOOD BLVD CLAYTON, MO 63105; NATURE OF BUSINESS: NON PROFIT; START DATE: 09/2024; POSITION/TITLE/RELATIONSHIP: BOARD PRESIDENT/MEMBER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: DAY TO DAY MANAGEMENT OF THE PROPERTY WHERE FRATERNITY HOUSE IS LOCATED; 9) NAME OF OTHER BUSINESS: CT MANAGEMENT, LLC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: LLC ESTABLISHED FOR PAYROLL ONLY FOR MSMF WEALTH MANAGEMENT EMPLOYEES; 10) NAME OF OTHER BUSINESS: CT GENERAL PARTNER, INC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: EXPENSE MANAGEMENT, START DATE: 11/2024, POSITION/TITLE/RELATIONSHIP: MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: S CORP FOR OWNER PAYROLL AND 401(K);
CRS (Client Relationship Summary) - RIA
Click below to view Mark Gerard Finke'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: 1999
Experience
Current
November 19, 1997 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2785 Tucker Road, Poplar Bluff, MO 63901Office #2: 3660 S. Geyer Road Suite 200, St. Louis, MO 63127RIA
CRD#: 105644
POPLAR BLUFF, MO
Current
March 1, 1996 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2785 Tucker Road, Poplar Bluff, MO 63901Office #2: 3660 S. Geyer Road Suite 200, St. Louis, MO 63127BD
CRD#: 10358
POPLAR BLUFF, MO
Past
April 28, 1993 - March 1, 1996
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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
Alabama(9/26/2023)
RR
Arizona(4/29/2015)
RR
Arkansas(2/11/2014)
RR
California(1/3/2012)
RR
District of Columbia(3/11/2020)
RR
Florida(1/13/1997)
RR
Georgia(5/1/2018)
RR
Idaho(4/2/2007)
RR
Illinois(3/1/1996)
RR
Indiana(2/26/2020)
RR
Iowa(4/2/2007)
RR
Kansas(6/22/2001)
RR
Kentucky(9/1/2016)
RR
Louisiana(4/29/2015)
RR
Maryland(5/23/2025)
RR
Massachusetts(9/5/2025)
RR
Michigan(1/13/2021)
RR
Missouri(3/1/1996)
IAR
Missouri(11/19/1997)
RR
New Jersey(1/28/2019)
RR
New York(5/30/2018)
RR
North Carolina(8/6/2025)
RR
Ohio(3/30/1999)
RR
Oklahoma(1/4/2019)
RR
Oregon(8/15/2017)
RR
Pennsylvania(3/4/1996)
RR
South Carolina(10/13/2017)
RR
Tennessee(2/7/2024)
RR
Texas(3/1/1996)
IAR
Texas(8/31/2017)
RR
Washington(4/4/1996)
RR
Wisconsin(1/6/2025)
RR
Wyoming(4/2/2007)
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Poplar Bluff, MO 63901TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
