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Mark A. Orth

CETERA WEALTH SERVICES
Omaha, NE 68154
Some features on this profile are disabled
CRD#: 3083453
MO

Professional summary

Mark Allen Orth, who also goes by Mark A Orth, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Omaha, Nebraska.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 26 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark A Orth

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark Allen Orth's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 6, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 14600 Branch Street, Omaha, NE 68154
BD
CRD#: 13572
Omaha, NE
Past

September 7, 2017 - September 5, 2018

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

June 20, 2017 - July 5, 2017

NYLIFE SECURITIES LLC

BD
CRD#: 5167
OMAHA, NE
Past

March 3, 2016 - January 27, 2017

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
OMAHA, NE
Past

June 10, 2013 - June 17, 2013

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

April 22, 2006 - April 16, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

October 11, 2005 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
BELLEVUE, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/7/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/23/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/27/2016
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/14/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS

CRD#: 13572 / SEC#: 801-47342, 8-29577

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISOR NETWORKS LLC - ADV PART 2A AND APPENDIX 1 (6/1/2023)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
BURKOTT, DANIEL PAULBROKER DEALER CO-CHIEF COMPLIANCE OFFICER4710068
COAXUM, KOFI SULEVICE PRESIDENT5150018
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
GOOLEY, THOMAS ANDREWMANAGER4526760
HALLORAN, THOMAS WILLIAMVICE PRESIDENT1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERCHIEF EXECUTIVE OFFICER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CO-CHIEF COMPLIANCE OFFICER5059176
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYPRESIDENT AND MANAGER2272183
STONE, TIMOTHY PATRICKVICE PRESIDENT3038963
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WATTS, ANDREW DAVIDVICE PRESIDENT4780880

Regulatory assets under management

Total Number of Accounts192,956
AUM (Assets Under Management)$ 46,651,447,975

Disclosures

Regulatory Event20
Civil Event2
Arbitration15

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 WEALTH SERVICES, LLC

CRD#: 13572Omaha, NE 68154

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