Mark T. Gartman
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 Theodore Gartman, who also goes by Mark Theadore Gartman, Mark Gartman, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - September 30, 2021
CETERA INVESTMENT ADVISERS LLC
January 16, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 9, 2013 - September 30, 2021
CETERA INVESTMENT SERVICES LLC
December 2, 2011 - December 20, 2012
VALIC FINANCIAL ADVISORS, INC.
November 22, 2011 - December 20, 2012
VALIC FINANCIAL ADVISORS, INC.
January 3, 2006 - April 1, 2011
NBC SECURITIES, INC.
January 3, 2006 - April 1, 2011
NBC SECURITIES, INC.
April 26, 2005 - December 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 23, 2005 - December 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1998 - April 4, 2000
IFMG SECURITIES, INC.
February 27, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 24, 1996 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
January 1, 1994 - December 17, 2004
SOUTHTRUST SECURITIES, LLC
September 14, 1993 - December 11, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
