ML
Mark R. Lyons
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO 80917
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CRD#: 4789740
ML
Professional summary
Mark R Lyons, who also goes by Mark Lyons, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA ADVISORS LLC located in Colorado Springs, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Mark has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Lyons
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: 12/06/2012 APX NUMBER OF HOURS PER WEEK: 16 APX NUMBER OF HOURS DURING TRADING HOURS: 13 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE 2. NAME OF OTHER BUSINESS: MILLENNIUM FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/11/2012 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR 3. NAME OF OTHER BUSINESS: MARK R. LYONS, INC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 3/2013; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK:0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY FOR TAX REPORTING PURPOSES;
CRS (Client Relationship Summary) - RIA
Click below to view Mark R Lyons'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 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 3204 N. Academy Blvd Ste 310, Colorado Springs, CO 80917RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
December 11, 2012 - Present
CETERA ADVISORS LLC
Office #1: 3204 N. Academy Blvd Ste 310, Colorado Springs, CO 80917BD
CRD#: 10299
Colorado Springs, CO
Past
December 11, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
October 12, 2007 - December 14, 2012
NEW ENGLAND SECURITIES
RIA
CRD#: 615
COLORADO SPRINGS, CO
Past
August 30, 2007 - December 14, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
COLORADO SPRINGS, CO
Past
July 25, 2006 - September 10, 2007
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
COLORADO SPRINGS, CO
Past
July 25, 2006 - September 10, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
COLORADO SPRINGS, CO
Past
September 27, 2004 - July 25, 2006
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ENGLEWOOD, CO
Past
May 13, 2004 - July 25, 2006
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ENGLEWOOD, CO
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
Arizona(1/2/2013)
RR
California(3/20/2023)
RR
Colorado(12/11/2012)
IAR
Colorado(3/21/2024)
RR
Florida(7/20/2016)
RR
Georgia(1/6/2015)
RR
Idaho(12/13/2022)
RR
Indiana(1/2/2014)
RR
Kansas(1/30/2025)
RR
Minnesota(1/3/2017)
RR
Mississippi(7/16/2024)
RR
Missouri(1/5/2017)
RR
Montana(9/22/2025)
RR
Nebraska(2/11/2021)
RR
Nevada(4/14/2023)
RR
New Jersey(8/8/2023)
RR
New York(1/3/2024)
RR
North Carolina(1/9/2015)
RR
Oregon(1/3/2024)
RR
Texas(3/12/2018)
IAR
Texas(3/21/2024)
RR
Utah(1/2/2013)
IAR
Utah(3/21/2024)
RR
Virginia(1/7/2015)
RR
Washington(1/3/2020)
Exams
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
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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
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80917TRUST BUT VERIFY
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