Neil J. Marks
PRIME FINANCIAL STRATEGIES
Colorado Springs, CO 80918
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CRD#: 5862498
Professional summary
Neil Jeffrey Marks, AIF®, CFP® is a registered financial advisor currently at PRIME FINANCIAL STRATEGIES, INC. located in Colorado Springs, Colorado and CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Neil has worked at 4 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. NAME OF OTHER BUSINESS: PRIME FINANCIAL STRATEGIES INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DBA FOR FINANCIAL SERVICES; START DATE: 03/2015; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ASSISTANT TO ADVISOR; IAR OF THE DBA/FIRM 2. NAME OF OTHER BUSINESS: ORIA PRIME FINANCIAL STRATEGIES, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ADVISORY BUSINESS; POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE; START DATE: 08/2018; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING; 3. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 3/2021; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY AND LONG TERM CARE; 4. NAME OF OTHER BUSINESS: PIKES PEAK LIBRARY DISTRICT FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 1175 CHAPEL HILL DR. COLORADO SPRINGS, CO 80920 NATURE OF BUSINESS: NONPROFIT; START DATE: 1/2024; POSITION/TITLE/RELATIONSHIP: TREASURER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: ATTEND MEETINGS, REVIEW AUDIT & FINANCIAL STATEMENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Neil Jeffrey Marks'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®
CFP®
Start date: 2018
Experience
Current
August 15, 2018 - Present
PRIME FINANCIAL STRATEGIES, INC.
Office #1: 6745 Rangewood Dr., Suite 200, Colorado Springs, CO 80918RIA
CRD#: 113703
Colorado Springs, CO
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
October 12, 2017 - Present
CETERA ADVISORS LLC
Office #1: 6745 Rangewood Dr. Ste 200, Colorado Springs, CO 80918BD
CRD#: 10299
Colorado Springs, CO
Past
October 12, 2017 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
COLORADO SPRINGS, CO
Past
August 29, 2015 - October 16, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
COLORADO SPRINGS, CO
Past
April 8, 2011 - October 16, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
COLORADO SPRINGS, 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
Alaska(1/2/2020)
RR
Arizona(1/2/2020)
RR
California(3/28/2018)
RR
Colorado(10/12/2017)
IAR
Colorado(8/15/2018)
RR
District of Columbia(1/2/2020)
RR
Illinois(1/10/2019)
RR
Iowa(1/2/2020)
RR
Kansas(7/6/2021)
RR
Louisiana(3/23/2021)
RR
Massachusetts(1/2/2019)
RR
Michigan(1/2/2020)
RR
Minnesota(3/28/2018)
RR
Montana(9/27/2024)
RR
Nebraska(9/15/2025)
RR
New York(3/28/2018)
RR
North Carolina(4/19/2023)
RR
Ohio(1/2/2020)
RR
Oregon(1/25/2024)
RR
South Carolina(1/2/2020)
RR
South Dakota(1/2/2020)
RR
Texas(1/2/2020)
IAR
Texas(3/21/2024)
RR
Utah(8/27/2024)
RR
Virginia(1/2/2020)
RR
Washington(1/2/2020)
RR
Wisconsin(3/28/2018)
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
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80918TRUST BUT VERIFY
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