MA
Mark R. Aumack
CETERA INVESTMENT ADVISERS LLC
WALL, NJ 07719
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CRD#: 5701792
MA
Professional summary
Mark R Aumack, who also goes by Mark Aumack, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Wall, New Jersey.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Mark has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Aumack
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.
MARK R AUMACK, CPA POSITION: Owner NATURE: I am a Certified Public Accountant in the State of NJ. I prepare personal and business tax returns for individuals, partnerships, corporations and estates. INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 130 START DATE: 01/01/1995 ADDRESS: 1540 Rte. 138 Ste 301, Wall NJ 07719, United States DESCRIPTION: Individual Tax Preparation Business Tax Preparation Estate Tax Preparation Financial Planning Investment Advice Retirement Planning Market Financial Services through Avantax
CRS (Client Relationship Summary) - RIA
Click below to view Mark R Aumack'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
January 15, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1540 Highway 138 Ste 303, Wall, NJ 07719RIA
CRD#: 105644
WALL, NJ
Past
March 28, 2022 - January 8, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
WALL, NJ
Past
March 22, 2022 - January 8, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WALL, NJ
Past
February 9, 2012 - February 15, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HOWELL, NJ
Past
December 10, 2009 - February 15, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
WALL, NJ
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.Highlighted states indicate IAR registrations
IAR
New Jersey(1/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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#: 105644Wall, NJ 07719TRUST BUT VERIFY
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