Mark D. Keitel

CETERA INVESTMENT ADVISERS LLC

TAMPA, FL 33609

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CRD#: 5265556

Professional summary

Mark David Keitel, who also goes by Mark Keitel, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA INVESTMENT SERVICES LLC located in New Port Richey, Florida.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Mark has worked at 5 firms and has passed the Series 66, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mark Keitel

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Keitel'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

February 13, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4128 W Kennedy Blvd, Tampa, FL 33609

RIA

CRD#: 105644

TAMPA, FL

Current

November 26, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 6335 Us Hwy 19, New Port Richey, FL 34652Office #2: 4128 W Kennedy Blvd, Tampa, FL 33609

CRD#: 15340

New Port Richey, FL

Past

December 16, 2013 - January 29, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

LAKELAND, FL

Past

April 23, 2012 - September 25, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAKELAND, FL

Past

February 2, 2012 - September 25, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAKELAND, FL

Past

March 1, 2010 - January 20, 2012

NYLIFE SECURITIES LLC

CRD#: 5167

BRANDON, FL

Past

November 2, 2009 - February 16, 2010

NYLIFE SECURITIES LLC

CRD#: 5167

TAMPA, FL

Past

July 7, 2009 - July 24, 2009

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

TAMPA, FL

Past

June 25, 2009 - July 24, 2009

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

TAMPA, FL

Past

February 2, 2007 - June 16, 2009

FIRST COMMAND BROKERAGE SERVICES, INC.

RIA

CRD#: 3641

TAMPA, FL

Past

January 31, 2007 - June 16, 2009

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

TAMPA, FL

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
(11/1/2017)

Florida
(12/16/2013)

IAR

Florida
(2/13/2014)

Georgia
(10/30/2025)

Nevada
(1/8/2025)

North Carolina
(11/1/2017)

Ohio
(12/14/2017)

Texas
(2/12/2025)

IAR

Texas
(2/12/2025)

Vermont
(6/23/2023)

Washington
(7/12/2023)

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

IAR

Series 66

Date: 4/19/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/3/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/22/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/2007

Investment Company Products/Variable Contracts Representative 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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Firm Stability Insights

Mark D. Keitel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark David Keitel's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NYLIFE SECURITIES LLC

NYLIFE SECURITIES LLC

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2012

Series 65

Date: 1/3/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/22/2012

Series 6

Date: 1/26/2007

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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