MW
Mark M. Wallace
CETERA INVESTMENT ADVISERS LLC
COLORADO SPRINGS, CO
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CRD#: 6393741
MW
Professional summary
Mark Michael Wallace, who also goes by Mark Wallace, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Colorado Springs, Colorado and CETERA WEALTH SERVICES, 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 2015. Mark has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Wallace
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.
(dba) RT COURSE WEALTH MANAGEMENT; Investment Related; 12325 Oracle Blvd, Ste 121, Colorado Springs, CO 80921; Financial Services; Investment Representative; Start Date 08/2014; 20 hours per month; Meet with clients to discuss their investment objectives, plans and goals in order to help them achieve financial success. >> TRUE NORTH MINISTRY; Non-Investment Related; Residence; Other; Minister/Teacher; Start Date 08/2015; 10 hours per month; Teach the bible two times a month, call and/or visit the sick/dying, visit people I know and love in the hospital, perform weddings, funerals, remembrance services; no membership. >> STONE & STEEL LLC; Non-Investment Related; 6810 Buckboard Drive, Falcon, CO 80831; Other; Handyman; Start Date 03/2021; 12 hours per month with no hours, minimum number if necessary, per month during trading hours; Work to bring modular home foundations up to code.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Michael Wallace'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
COLORADO SPRINGS, CO
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 12325 Oracle Blvd. Suite 121, Colorado Springs, CO 80921BD
CRD#: 13572
Colorado Springs, CO
Past
August 3, 2015 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Colorado Springs, CO
Past
March 17, 2015 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
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
Alabama(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
IAR
Colorado(2/20/2025)
RR
Idaho(2/20/2025)
RR
Missouri(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(4/30/2025)
RR
Ohio(2/20/2025)
RR
Oklahoma(6/25/2025)
RR
Texas(2/20/2025)
IAR
Texas(3/28/2025)
RR
Utah(2/20/2025)
RR
Washington(2/20/2025)
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.
