MS
Mark A. Stone
CETERA INVESTMENT ADVISERS LLC
SHILLINGTON, PA 19607
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CRD#: 3184069
MS
Professional summary
Mark A Stone is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Shillington, Pennsylvania and CETERA ADVISORS LLC located in Shillington, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Mark has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 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.
1.) UNION ADVANTAGE FINANCIAL; OWNER; DBA; START DATE:11/17/2008 2.) MARK STONE; AGENT; INSURANCE; START DATE:9/24/2008 3.) STONE FINANCIAL; OWNER; START DATE:11/17/2008 4.) STONE FINANCIAL; PRESIDENT; START DATE 08/01/2005; 160 HOURS PER MONTH 5.) BERK COMMUNITY HEALTH CENTER; BOARD MEMBER; NON- PROFIT ORGANIZATION; START DATE 03/01/2019; 4 HOURS PER MONTH 6.) HEINTZ TAX SERVICES; VOLUNTEER; NON-CPA ACCOUNTING AND/OR TAX PREPARATION; START DATE 02/15/2019. 20 HOURS PER MONTH; 7.) NAME OF OTHER BUSINESS: TREATMENT ACCESS AND SERVICE CENTER, INVESTMENT RELATED: NO, ADDRESS: 19 N 6TH ST, STE 300, READING, PA 19601, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2024, POSITION/TITLE/RELATIONSHIP: TREASURER, APX NUMBER OF HOURS PER WEEK: 1, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: MEET QUARTERLY WITH EXECUTIVE COMMITTEE AND REVIEW FINANCIAL SITUATION;
CRS (Client Relationship Summary) - RIA
Click below to view Mark A Stone'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
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 34 West Lancaster Avenue, Shillington, PA 19607RIA
CRD#: 105644
SHILLINGTON, PA
Current
September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 34 West Lancaster Avenue, Shillington, PA 19607BD
CRD#: 10299
Shillington, PA
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SHILLINGTON, PA
Past
December 9, 2008 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SHILLINGTON, PA
Past
December 9, 2008 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SHILLINGTON, PA
Past
May 24, 2002 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
SHILLINGTON, PA
Past
August 18, 1999 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
SHILLINGTON, PA
Past
May 5, 1999 - August 26, 1999
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, NY
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
Alabama(9/8/2022)
RR
California(9/8/2022)
RR
Colorado(9/8/2022)
RR
Connecticut(7/22/2024)
RR
Delaware(9/8/2022)
RR
Florida(9/8/2022)
RR
Georgia(9/8/2022)
RR
Illinois(10/27/2025)
RR
Maine(9/8/2022)
RR
Maryland(9/8/2022)
RR
Montana(4/2/2025)
RR
New Jersey(9/8/2022)
RR
New York(9/8/2022)
RR
North Carolina(9/8/2022)
RR
Ohio(9/8/2022)
IAR
Pennsylvania(11/12/2020)
RR
Pennsylvania(9/8/2022)
RR
South Carolina(9/8/2022)
IAR
Texas(11/12/2020)
RR
Texas(9/8/2022)
RR
Virginia(9/8/2022)
RR
West Virginia(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 105644Shillington, PA 19607TRUST BUT VERIFY
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