MV
Mark A. Vergenes
CETERA INVESTMENT ADVISERS LLC
LANCASTER, PA 17603
Some features on this profile are disabled
CRD#: 2716153
MV
Professional summary
Mark Anthony Vergenes, who also goes by Mark A Vergenes, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Lancaster, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Lancaster, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark A Vergenes
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED: YES,
POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE,
BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE, ANNUITIES AND LONG TERM CARE;
2.NAME OF OTHER BUSINESS: DBA MIRUS FINANCIAL PARTNERS
INVESTMENT RELATED: YES
ADDRESS: SAME AS REGISTERED ADDRESS
NATURE OF BUSINESS: FINANCIAL SERVICES
START DATE: 06/2006
POSITION/TITLE/RELATIONSHIP: OWNER
APX NUMBER OF HOURS PER WEEK: 40 PLUS
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5
BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND INVESTMENT ADVICE
3. NAME OF OTHER BUSINESS: MIRUS CONSULTANTS;
INVESTMENT RELATED: NO;
ADDRESS: 110 EAST KING STREET, LANCASTER, PA 17602;
NATURE OF BUSINESS: PARKING CONSULTING;
START DATE: 08/2018;
POSITION/TITLE/RELATIONSHIP: OWNER;
APX NUMBER OF HOURS PER WEEK: 2 OR LESS;
APX NUMBER OF HOURS DURING TRADING HOURS: 2 OR LESS;
BRIEF DESCRIPTION OF DUTIES: PARKING EQUIPMENT, COMMUNICATION, STRATEGIC PLANNING, SUICIDE PREVENTION;
4. NAME OF OTHER BUSINESS: CONESTOGA VALLEY BUCKSKIN BOOSTERS STEERING COMMITTEE,
INVESTMENT RELATED: NO,
ADDRESS: CONESTOGA VALLEY, PA,
NATURE OF BUSINESS: NON-PROFIT,
POSITION/TITLE/RELATIONSHIP: COMMITTEE MEMBER,
START DATE: 09-2012,
APX NUMBER OF HOURS PER WEEK: 2,
BRIEF DESCRIPTION OF DUTIES: ASSIST WITH CAMPAIGN TO RAISE FUNDS FOR DEMOLITION AND CONSTRUCTION OF NEW SEATS, BLEACHERS, PRESS BOX, LIGHTING AND INSTALLATION OF SYNTHETIC TURF
5.NAME OF OTHER BUSINESS: PENNSYLVANIA PARKING ASSOC
INVESTMENT RELATED: NO
ADDRESS: ERIE, PA
NATURE OF BUSINESS: NON-PROFIT
START DATE: 7/2014
POSITION/TITLE/RELATIONSHIP: BOARD MEMBER
APX NUMBER OF HOURS PER WEEK: 1
NONE DURING TRADING HOURS:
BRIEF DESCRIPTION OF DUTIES: PROVIDE PUBLIC VIEWPOINT
6. NAME OF OTHER BUSINESS: SUSQUEHANNA VALLEY COUNCIL OF CHARITABLE GIFT PLANNERS INVESTMENT RELATED: NO ADDRESS: 100 PINE ST., HARRISBURG, PA 17108 NATURE OF BUSINESS: NON-PROFIT START DATE: 6/2016 POSITION/TITLE/RELATIONSHIP: BOARD MEMBER APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: ANSWER QUESTIONS FOR PROSPECTIVE MEMBERS THAT THE WEBSITE DOESN'T ANSWER.
7. NAME OF OTHER BUSINESS: LGH FOUNDATION INVESTMENT RELATED: NO ADDRESS: HARRISBURG, PA 17108 NATURE OF BUSINESS: NON-PROFIT START DATE: 1/2016 POSITION/TITLE/RELATIONSHIP: PLANNED GIVING COMMITTEE MEMBER, APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN PRESENTATIONS WITH OTHER MEMBERS.
8. NAME OF OTHER BUSINESS: BOY SCOUTS OF AMERICA, LANCASTER/LEBANON COUNTY) INVESTMENT RELATED: NO ADDRESS: 630 JANET AVE, STE B-114, LANCASTER, PA 17602 NATURE OF BUSINESS: NON-PROFIT START DATE: 1/2016 POSITION/TITLE/RELATIONSHIP: PLANNED GIVING COMMITTEE MEMBER, APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: PARTICIPATE WITH OTHER MEMBERS IN RAISING AWARENESS OF PLANNED GIVING PROGRAMS.
9. NAME OF OTHER BUSINESS: HACC FOUNDATION, INVESTMENT RELATED: NO ADDRESS: HARRISBURG, PA, NATURE OF BUSINESS: NON-PROFIT START DATE: 1/2016 POSITION/TITLE/RELATIONSHIP: PLANNED GIVING COMMITTEE MEMBER, APX NUMBER OF HOURS PER WEEK: 1 NONE DURING TRADING HOURS: BRIEF DESCRIPTION OF DUTIES: PARTICIPATE WITH OTHER MEMBERS IN RAISING AWARENESS FOR THE HACC PLANNED GIVING PROGRAMS
10. NAME OF OTHER BUSINESS: CITY REVITALIZATION & IMPROVEMENT ZONE ;
INVESTMENT RELATED: NO ;
ADDRESS: 120 NORTH DUKE ST, LANCASTER, PA 17608 ;
NATURE OF BUSINESS: CITY OF LANCASTER ;
START DATE: 10/2019 ;
POSITION/TITLE/RELATIONSHIP: DIRECTOR ;
APX NUMBER OF HOURS PER WEEK: 2 ;
APX NUMBER OF HOURS DURING TRADING HOURS: 2 ;
BRIEF DESCRIPTION OF DUTIES: VOTE TO RELEASE AND GRANT MONEY FOR BUSINESS SEEKING REMODELING, EXPANSION, ESTABLISHMENT WITH CRIZ ZONE ;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Anthony Vergenes'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 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8 N Queen St Mezzanine, Lancaster, PA 17603RIA
CRD#: 105644
LANCASTER, PA
Current
July 24, 2006 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 8 N Queen St Mezzanine, Lancaster, PA 17603BD
CRD#: 13572
LANCASTER, PA
Past
July 31, 2006 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EAST PETERSBURG, PA
Past
June 4, 2004 - February 20, 2009
EHD ADVISORY SERVICES, INC.
RIA
CRD#: 127155
LANCASTER, PA
Past
March 1, 2004 - June 29, 2006
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
LANCASTER, PA
Past
September 25, 2002 - March 1, 2004
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
June 12, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
June 12, 1996 - September 26, 2002
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, 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
California(5/26/2021)
RR
Colorado(1/27/2021)
RR
Delaware(10/10/2017)
RR
Florida(10/5/2010)
RR
Georgia(8/26/2011)
RR
Indiana(7/24/2006)
RR
Kansas(7/24/2006)
RR
Kentucky(4/30/2008)
RR
Maryland(1/26/2021)
RR
Michigan(7/24/2006)
RR
New Jersey(1/3/2007)
RR
New York(8/17/2011)
RR
North Carolina(8/4/2008)
RR
North Dakota(3/17/2016)
RR
Ohio(7/24/2006)
RR
Pennsylvania(7/24/2006)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(1/3/2012)
RR
Texas(9/21/2018)
IAR
Texas(6/29/2023)
RR
Virginia(5/23/2011)
RR
West Virginia(9/16/2010)
Exams
State Security Law Exam
State Security Law 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
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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
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#: 105644Lancaster, PA 17603TRUST BUT VERIFY
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