MG
Marshall W. Gifford
CETERA INVESTMENT ADVISERS LLC
MIROMAR LAKES, FL
Some features on this profile are disabled
CRD#: 2410273
MG
Professional summary
Marshall William Gifford, ChFC®, CLU®, who also goes by Marshall W Gifford, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Miromar Lakes, Florida and CETERA WEALTH SERVICES, LLC located in Minneapolis, Minnesota.
Marshall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Marshall has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marshall W Gifford
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. AUTHOR POSITION: Owner NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2005 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Owner 2. GIFFORD FINANCIAL POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2016 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker 3. GUARDIAN INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2004 ADDRESS: , New York NY , United States DESCRIPTION: Agent/Broker 4. MARSHALL GIFFORD P&C SALES POSITION: Advisory Board NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/01/2016 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Advisory Board NORTH STAR CONSULTANTS & NORTH STAR BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 01/01/2011 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Agent/Broker 5. NORTH STAR SCOTT RICHARDS CHARITABLE FOUNDATION POSITION: Member NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2011 ADDRESS: , Minneapolis MN , United States DESCRIPTION: Member; 6. NAME OF OTHER BUSINESS: POLK CEDAR HOLDINGS LLC; INVESTMENT RELATED: NO; ADDRESS: 2401 CARDINAL DR, NEW RICHMOND, WI 54017; NATURE OF BUSINESS: REAL ESTATE; START DATE: 9/2024; POSITION/TITLE/RELATIONSHIP: MANAGER/OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MANAGE BANK ACCOUNT TO OVERSEE BILLS AND PAYMENTS; 7. NAME OF OTHER BUSINESS: MW GIFFORD FINANCIAL SERVICES LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 32, APX NUMBER OF HOURS DURING TRADING HOURS: 32, BRIEF DESCRIPTION OF DUTIES: DBA FOR ADVISORY SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Marshall William Gifford'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®
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 2401 Cardinal Drive, New Richmond, WI 54017Office #3: 2701 University Avenue Se, Minneapolis, MN 55414-3238RIA
CRD#: 105644
MIROMAR LAKES, FL
Current
June 13, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2701 University Avenue Se, Minneapolis, MN 55414-3238BD
CRD#: 13572
MINNEAPOLIS, MN
Past
December 20, 2013 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
MINNEAPOLIS, MN
Past
February 25, 2008 - October 18, 2021
CRI SECURITIES, LLC
RIA
CRD#: 22589
MINNEAPOLIS, MN
Past
November 1, 2006 - December 31, 2007
MARATHON ADVISORS, INC
RIA
CRD#: 113696
MINNEAPOLIS, MN
Past
October 27, 1993 - October 18, 2021
CRI SECURITIES, LLC
BD
CRD#: 22589
MINNEAPOLIS, MN
Past
October 27, 1993 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
MINNEAPOLIS, MN
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
Alaska(8/10/2023)
RR
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(8/10/2023)
RR
Florida(6/13/2023)
IAR
Florida(8/10/2023)
RR
Idaho(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(8/10/2023)
RR
Iowa(8/10/2023)
RR
Kansas(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
IAR
Minnesota(8/10/2023)
RR
Missouri(8/10/2023)
RR
Montana(8/10/2023)
RR
Nevada(8/10/2023)
RR
New Jersey(2/22/2024)
RR
New Mexico(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
North Dakota(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oregon(8/10/2023)
RR
South Dakota(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Vermont(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
West Virginia(8/10/2023)
RR
Wisconsin(8/10/2023)
IAR
Wisconsin(11/21/2024)
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.
