MS
Marc D. Spinner
CETERA INVESTMENT ADVISERS LLC
Kennewick, WA 99336
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CRD#: 2727461
MS
Professional summary
Marc Dean Spinner, who also goes by Marc D Spinner, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kennewick, Washington and CETERA ADVISORS LLC located in Kennewick, Washington.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Marc has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marc D Spinner
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) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, START DATE 07/2021, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, ANNUITIES AND LONG-TERM CARE 2) NAME OF OTHER BUSINESS: WAYPOINT FINANCIAL SERVICES INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE:07/2021, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: SPINNER INVESTMENT MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX CONDUIT, START DATE: 09/2009, POSITION/TITLE/RELATIONSHIP: OWNER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: LLC CREATED FOR EXPENSE MANAGEMENT; 4) NAME OF OTHER BUSINESS: ANNAPURNA ROCKS AND MINERALS INVESTMENT RELATED: NO, ADDRESS: 219 ROCKY MOUNTAIN COURT, RICHLAND, WA, 99352 NATURE OF BUSINESS: GEOLOGICAL START DATE: 10/2019, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: PURCHASE AND SELL ROCKS, GEMS AND MINERALS; 5) NAME OF OTHER BUSINESS: FRIENDS OF BADGER MOUNTAIN, INVESTMENT RELATED: NO, ADDRESS: 219 ROCKY MOUNTAIN COURT, RICHLAND, WA 99352, NATURE OF BUSINESS: NON-PROFIT, START DATE: 04/2015, POSITION/TITLE/RELATIONSHIP: BOARD MEMBER, LESS THAN ONE HOUR PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BUILD HIKING TRAILS WITHIN THE COMMUNITY;
CRS (Client Relationship Summary) - RIA
Click below to view Marc Dean Spinner'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1920 N. Pittsburgh St., Suite D2, Kennewick, WA 99336RIA
CRD#: 105644
Kennewick, WA
Current
July 29, 2021 - Present
CETERA ADVISORS LLC
Office #1: 1920 N. Pittsburgh St., Suite D2, Kennewick, WA 99336BD
CRD#: 10299
Kennewick, WA
Past
July 30, 2021 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
KENNEWICK, WA
Past
September 11, 2009 - August 4, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
KENNEWICK, WA
Past
September 11, 2009 - August 4, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
KENNEWICK, WA
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
RIA
CRD#: 149777
KENNEWICK, WA
Past
June 1, 2009 - October 8, 2009
MORGAN STANLEY
BD
CRD#: 149777
KENNEWICK, WA
Past
December 9, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
KENNEWICK, WA
Past
December 9, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
KENNEWICK, WA
Past
June 13, 2000 - December 16, 2004
PIPER SANDLER & CO.
RIA
CRD#: 665
KENNEWICK, WA
Past
May 13, 1996 - December 16, 2004
PIPER SANDLER & CO.
BD
CRD#: 665
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
Arizona(7/29/2021)
RR
California(7/29/2021)
RR
Idaho(7/29/2021)
RR
Missouri(8/28/2023)
RR
New Mexico(7/29/2021)
RR
North Carolina(8/5/2021)
RR
Oregon(7/29/2021)
RR
Washington(7/30/2021)
IAR
Washington(3/21/2024)
RR
Wyoming(7/29/2021)
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#: 105644Kennewick, WA 99336TRUST BUT VERIFY
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