MR
Mark D. Ross
CETERA INVESTMENT ADVISERS LLC
PORTSMOUTH, NH 03801
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CRD#: 3254829
MR
Professional summary
Mark D Ross, who also goes by Mark David Ross, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Portsmouth, New Hampshire and CETERA WEALTH SERVICES, LLC located in Portsmouth, New Hampshire.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Mark has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark David Ross
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) 55 CONGRESS ST. CONDO ASSOCIATIO POSITION: Board of Director NATURE: 55 Congress St. Condo Assoc., is responsible for maintaining the common areas and elements of the property. This includes managing the finances, vendors, repair, to improve the quality of life for the owners. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/14/2021; 55 Congress St., Portsmouth NH 03801, Us; My activity as a board member is to enforce the rules drafted by the 55 Congress St. Condo Assoc., assist in establishing a sound fiscal policy, contribute to the development of the annual budget, plan for the future of the condominium members, and when necessary consult with expert condo lawyers in protection of the members and property. 2) DBA ROSS FINANCIAL SERVICES POSITION: President NATURE: Ross Financial Services provides financial products to individuals and businesses, to help them grow, protect, and optimize their financial resources. Nature of services provided, advisory, investment & portfolio management, insurance services, wealth management, estate planning and retirement services. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/17/2018; 155 Fleet Street, Suite 208.5, Portsmouth NH 03801, US; As President, my role is focused on client satisfaction, building strong, long-lasting relationships based on trust, transparency, and exceptional service. I'm responsible for keeping our clients informed and engaged in the financial services process. I promptly provide regular updates regarding portfolio changes, market updates, and many other client related data. In addition to the aforementioned, I'm responsible for tracking revenue, paying expenses, and with a focus on sustainable, solid growth.
CRS (Client Relationship Summary) - RIA
Click below to view Mark D Ross'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 155 Fleet Street, Portsmouth, NH 03801RIA
CRD#: 105644
PORTSMOUTH, NH
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 155 Fleet Street Suite 208.5, Portsmouth, NH 03801BD
CRD#: 13572
Portsmouth, NH
Past
January 4, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Portsmouth, NH
Past
December 20, 2018 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Portsmouth, NH
Past
March 27, 2018 - December 18, 2018
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PORTSMOUTH, NH
Past
April 12, 2011 - April 3, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SIDNEY, 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
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
New Hampshire(9/5/2025)
IAR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Oregon(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
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
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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#: 105644Portsmouth, NH 03801TRUST BUT VERIFY
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