ME
Mark C. Ettinger
CETERA INVESTMENT ADVISERS LLC
MONROE, NC 28110
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CRD#: 4334894
ME
Professional summary
Mark Cronin Ettinger is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Monroe, North Carolina and CETERA INVESTMENT SERVICES LLC located in Monroe, North Carolina.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 31, Series 7, Series 24 and Series 53 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. 12/31/2019 - JOHNSON FINANCIAL GROUP FINANCIAL ADVISORS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/11/2019 - 50 Hours Per Month/50 Hours During Securities Trading. 2. 06/01/2023 - Johnson Financial Group-Trust Department - Not Investment Related - At Reported Business Location(s) - Other - Referral Compensation from Trust Dept - Start Date 06/01/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Mark Cronin Ettinger'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
March 7, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2593 West Roosevelt Blvd, Monroe, NC 28110RIA
CRD#: 105644
MONROE, NC
Current
March 5, 2025 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2593 West Roosevelt Blvd, Monroe, NC 28110Office #2: 3500 Mt Holly Huntersville Road, Charlotte, NC 28216BD
CRD#: 15340
Monroe, NC
Past
June 26, 2018 - December 20, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
RACINE, WI
Past
June 25, 2018 - December 20, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
RACINE, WI
Past
May 23, 2002 - April 24, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
APPLETON, WI
Past
May 14, 2002 - April 24, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
March 2, 2001 - May 22, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
IAR
North Carolina(3/7/2025)
RR
North Carolina(3/12/2025)
RR
South Carolina(3/7/2025)
IAR
South Carolina(3/7/2025)
RR
Wisconsin(9/24/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Monroe, NC 28110TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
