MR
Mark J. Riggs
CETERA INVESTMENT ADVISERS LLC
HANOVER, PA 17331
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CRD#: 5071330
MR
Professional summary
Mark Joseph Riggs is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hanover, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Hanover, Pennsylvania.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mark has worked at 7 firms and has passed the Series 66, SIE and Series 7 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) STAUB, RIGGS & COLLINS INC. 1 SOUTH QUEEN STREET LITTLESTOWN, PA 17340 . PAID A SALARY. - 50% CO-OWNER - 40 HOURS A MONTH 8 DURING TRADING HRS. MANAGE THE OPERATIONS OF AN INDEPENDENT INSURANCE AGENCY. I AM A LICENSED AGENT BUT DO NOT WRITE INSURANCE BUSINESS. OTHER PARTNER IS ANDREW COLLINS WHO IS NOT FINRA REGISTERED. NO SBS/SFG CLIENT INFORMATION IS SHARED OR ACCESSIBLE BY THIS ENTITY. 50% CO-OWNER OF THE AGENCY. 2) EICHELBERGER PERFORMING ARTS CENTER; NOT INVESTMENT RELATED; 195 STOCK ST, UNIT 200, HANOVER, PA 17331; NON-PROFIT; BOARD MEMBER; START 7/23/2018; APX 4 HOURS/MONTH, NONE DURING TRADING 3) RIGGS HOLDING, INC; 118 CARLISLE ST, HANOVER, PA 17331; DBA USED TO PAY BILLS; OWNER; STARTED 4/20/2016; APX 1 HOUR/MONTH, NONE DURING TRADING; BILL PAYING AND INCOME DEPOSITS ONLY 4) NAME OF OTHER BUSINESS: FIVE POINTS HANOVER, LLC INVESTMENT RELATED: NO; ADDRESS: 40 YORK ST HANOVER, PA 17331; NATURE OF BUSINESS: REAL ESTATE LEASING; START DATE: 10/2020; POSITION/TITLE/RELATIONSHIP: MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: OWNER OF BUILDING, UPSTAIRS RENTAL UNIT; 5) NAME OF OTHER BUSINESS: HCM WEALTH ADVISORY GROUP, LLC ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 01/2022 ; POSITION/TITLE/RELATIONSHIP: MEMBER/ FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES ; 6) NAME OF OTHER BUSINESS: ROTARY CLUB; INVESTMENT RELATED: NO; ADDRESS: 40 YORK ST HANOVER, PA 17331; NATURE OF BUSINESS: NON PROFIT; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: DISTRICT MAJOR DONOR COORDINATOR/BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RESPONSIBLE FOR REACHING OUT TO THANK MAJOR DONORS OF THE ROTARY FOUNDATION AND ATTEND MONTHLY BOARD MEETINGS & ASSIST IN RUNNING CLUB MEETINGS; 7) NAME OF OTHER BUSINESS: HANOVER PUBLIC LIBRARY ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 2 LIBRARY PL, HANOVER, PA 17331; NATURE OF BUSINESS: BOARD; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: .5; APX NUMBER OF HOURS DURING TRADING HOURS: .5; BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER/FINANCE COMMITTEE - REVIEWING EXPENSES, INCOME, & BUDGET. ATTEND QUARTERLY ENDOWMENT REVIEW;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Joseph Riggs'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 40 York Street, Hanover, PA 17331RIA
CRD#: 105644
HANOVER, PA
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 40 York Street, Hanover, PA 17331BD
CRD#: 13572
Hanover, PA
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
June 4, 2012 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
HANOVER, PA
Past
June 4, 2012 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
HANOVER, PA
Past
October 2, 2007 - June 22, 2012
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
HANOVER, PA
Past
October 2, 2007 - June 22, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
HANOVER, PA
Past
January 24, 2006 - October 4, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
GETTYSBURG, PA
Past
January 1, 2006 - October 4, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
GETTYSBURG, PA
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
California(9/20/2019)
RR
Delaware(9/20/2019)
RR
Florida(9/21/2019)
RR
Georgia(9/20/2019)
RR
Illinois(9/20/2019)
RR
Maryland(9/20/2019)
RR
Pennsylvania(9/20/2019)
IAR
Pennsylvania(6/29/2023)
RR
South Carolina(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Virginia(9/20/2019)
RR
Washington(7/17/2023)
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.
