Mark E. Johnson
CETERA INVESTMENT ADVISERS LLC
Clarence, NY 14031
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CRD#: 3217120
Professional summary
Mark Emery Johnson, AIF®, CFP®, ChFC® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Clarence, New York and CETERA WEALTH SERVICES, LLC located in Clarence, New York.
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 5 firms and has passed the Series 66, Series 63, SIE, Series 7 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.
(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/2000 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES (2) NAME OF OTHER BUSINESS: NIAGARA LUTHERAN HEALTH CARE SYSTEM INVESTMENT RELATED: NO ADDRESS: 5949 BROADWAY LANCASTER, NY NATURE OF BUSINESS: ASSISTED LIVING START DATE: 05/2015 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: TRUSTEE (3) NAME OF OTHER BUSINESS: JOHNSON & GHIRSIG FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2016 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 50 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: CLARENCE CHAMBER OF COMMERCE INVESTMENT RELATED: NO ADDRESS: CLARENCE, NY NATURE OF BUSINESS: CHAMBER OF COMMERCE START DATE: 11/2018 POSITION/TITLE/RELATIONSHIP: DIRECTOR APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: DIRECTOR (5) NAME OF OTHER BUSINESS: JOHNSON & GHIRSIG WEALTH ADVISORS LLC ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 09/2021 ; POSITION/TITLE/RELATIONSHIP: PRESIDENT / CEO ; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR DAY TO DAY OPERATIONS ; (6) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: POWER OF ATTORNEY ; START DATE: 11/2019 ; POSITION/TITLE/RELATIONSHIP: POWER OF ATTORNEY ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: POA FOR FATHER ;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Emery Johnson'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®
CFP®
Start date: 2008
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10255 Main Street Ste 13, Clarence, NY 14031RIA
CRD#: 105644
Clarence, NY
Current
November 13, 2020 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10255 Main Street Ste 13, Clarence, NY 14031BD
CRD#: 13572
Clarence, NY
Past
January 8, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
BUFFALO, NY
Past
May 11, 2016 - December 9, 2020
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CLARENCE, NY
Past
July 17, 2006 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
CLARENCE, NY
Past
July 1, 2002 - May 13, 2016
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
CLARENCE, NY
Past
May 14, 1999 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
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
District of Columbia(1/11/2022)
RR
Florida(11/13/2020)
RR
Maine(11/13/2020)
RR
Minnesota(8/1/2023)
RR
Nevada(11/13/2020)
RR
New Hampshire(6/18/2025)
RR
New York(11/13/2020)
IAR
New York(6/29/2023)
RR
Pennsylvania(11/13/2020)
RR
Rhode Island(11/13/2020)
RR
Texas(1/8/2021)
IAR
Texas(6/29/2023)
RR
Utah(9/13/2024)
RR
Virginia(11/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Clarence, NY 14031TRUST BUT VERIFY
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