MR
Mark T. Rogers
CETERA INVESTMENT ADVISERS LLC
NAPERVILLE, IL 60563
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CRD#: 2745669
MR
Professional summary
Mark Thomas Rogers is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Naperville, Illinois and CETERA WEALTH SERVICES, LLC located in Naperville, Illinois.
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 7 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
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.
(dba) ROGERS FINANCIAL SERVICES LLC; Investment Related; 800 W Fifth Avenue, Ste 205-L, Naperville, IL 60563; Owner/Adviser; Start Date 01/1996; 160 hours per month; Insurance and securities sales as well as financial planning. >> MUSTANG CONSTRUCTION; 800 W Fifth Avenue, Ste 205-L, Naperville, IL 60563; Non-Investment Related; Liaison; Start Date 06/2010; 5 hours per month; I help property management with certain duties such as assisting tenants who are locked out, signing for packages for tenants and assisting with mail distribution.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Thomas Rogers'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 800 West Fifth Avenue Suite 205l, Naperville, IL 60563RIA
CRD#: 105644
NAPERVILLE, IL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 800 West Fifth Avenue Suite 205l, Naperville, IL 60563BD
CRD#: 13572
Naperville, IL
Past
January 3, 2007 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Naperville, IL
Past
June 7, 1999 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Naperville, IL
Past
May 28, 1998 - June 8, 1999
THE CONCORD EQUITY GROUP, LLC
BD
CRD#: 14569
ISELIN, NJ
Past
March 31, 1998 - August 12, 1998
EMISSARY FINANCIAL GROUP, INC.
BD
CRD#: 44568
MENTOR, OH
Past
January 12, 1998 - March 18, 1998
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past
July 1, 1996 - January 24, 1998
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Illinois(2/20/2025)
IAR
Illinois(2/20/2025)
RR
Iowa(2/20/2025)
RR
Michigan(2/20/2025)
RR
Minnesota(2/20/2025)
RR
North Carolina(2/20/2025)
RR
South Carolina(2/20/2025)
RR
South Dakota(6/24/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Virginia(3/27/2025)
RR
Washington(3/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 6/22/2005
Corporate Securities Limited Representative ExaminationGeneral 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
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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.
