Mark E. Backes

CETERA INVESTMENT ADVISERS LLC

HOOVER, AL 35244

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CRD#: 4102325

Professional summary

Mark Elliott Backes is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hoover, Alabama and CETERA INVESTMENT SERVICES LLC located in Hoover, Alabama.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Mark has worked at 8 firms and has passed the Series 63, 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. MULTIPLE RENTAL PROPERTIES, 100% OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Elliott Backes'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 28, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2050 Parkway Office Circle 4th Fl, Hoover, AL 35244Office #2: 8655 College Pkwy Sw, Fort Myers, FL 33919

RIA

CRD#: 105644

HOOVER, AL

Current

December 18, 2012 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2050 Parkway Office Circle 4th Fl, Hoover, AL 35244Office #2: 2050 Parkway Office Circle 4th Fl, Hoover, AL 35244Office #3: 8655 College Pkwy Sw, Fort Myers, FL 33919

CRD#: 15340

Hoover, AL

Past

May 10, 2012 - November 30, 2012

OBS FINANCIAL

RIA

CRD#: 138615

CONCORD, CA

Past

February 22, 2010 - November 30, 2012

OBS BROKERAGE SERVICES, INC.

CRD#: 104281

PITTSFORD, NY

Past

March 23, 2005 - July 21, 2009

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

January 7, 2005 - March 17, 2005

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

Past

January 7, 2005 - March 17, 2005

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

Past

February 27, 2001 - December 31, 2004

SOUTHTRUST SECURITIES, LLC

CRD#: 17922

BIRMINGHAM, AL

Past

January 10, 2000 - March 13, 2001

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(12/18/2012)

IAR

Alabama
(11/9/2021)

Arkansas
(10/5/2021)

Florida
(12/18/2012)

IAR

Florida
(6/18/2020)

Georgia
(8/12/2021)

Illinois
(1/14/2022)

Indiana
(8/20/2021)

Iowa
(8/11/2021)

Kentucky
(9/2/2021)

Louisiana
(8/16/2021)

Mississippi
(8/16/2021)

Missouri
(8/11/2021)

North Carolina
(8/12/2021)

South Carolina
(8/12/2021)

Tennessee
(8/13/2021)

Texas
(8/12/2021)

IAR

Texas
(1/12/2023)

Utah
(8/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/16/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Mark E. Backes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Elliott Backes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

OBS FINANCIAL

OBS BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

SOUTHTRUST SECURITIES, LLC

FIRST CLEARING, LLC

SOUTHTRUST SECURITIES, LLC

FIFTH THIRD SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/8/2000

Series 24

Date: 6/7/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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