Mark Matsumura
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Matsumura, CFP®, who also goes by Mark Kazuyoshi Matsumura, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2001. Mark had worked at 8 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 24 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2020 - November 23, 2021
CETERA INVESTMENT ADVISERS LLC
September 10, 2020 - November 23, 2021
CETERA INVESTMENT SERVICES LLC
March 9, 2017 - September 22, 2020
OSAIC WEALTH, INC.
March 9, 2017 - September 22, 2020
OSAIC WEALTH, INC.
May 13, 2016 - April 5, 2017
SIGNATOR INVESTORS, INC.
May 13, 2016 - April 5, 2017
SIGNATOR INVESTORS, INC.
May 8, 2012 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 8, 2012 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 26, 2006 - May 2, 2012
NEW ENGLAND SECURITIES
August 18, 2006 - May 2, 2012
NEW ENGLAND SECURITIES
May 14, 2001 - August 10, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 16, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 16, 2001 - August 10, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
