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MK

Mark E Kennington

CRD# 6749502·Registered 2018 - 2023
Previously Registered: Being a previously registered professional could mean that Mark is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Mark E Kennington, who also goes by Mark Edward Kennington, Mark Kennington, was a registered financial advisor. Mark was a previously registered financial professional and started their career in finance 2018 - 2023. Mark had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Mark Edward Kennington, Mark Kennington

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

8 years in the financial services industry

Current & Past Employments

CETERA ADVISORS LLC·CRD# 10299
RIA
Valencia, CA
February 14, 2023 - December 20, 2023
CETERA ADVISORS LLC·CRD# 10299
BD
Valencia, CA
February 13, 2023 - December 20, 2023
ONEAMERICA SECURITIES, INC.·CRD# 4173
RIA
Valencia, CA
February 9, 2022 - February 16, 2023
ONEAMERICA SECURITIES, INC.·CRD# 4173
BD
Valencia, CA
January 29, 2021 - February 16, 2023
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
Newbury Park, CA
August 14, 2019 - October 29, 2020
NYLIFE SECURITIES LLC·CRD# 5167
BD
Woodland Hills, CA
September 28, 2018 - July 1, 2019

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Current Firm

CA
CETERA ADVISORS LLC

CETERA ADVISORS LLC | MULTI-FINANCIAL SECURITIES CORPORATION | MAGIS FINANCIAL PARTNERS | FIRST ALLIED SECURITIES

CRD#: 10299 / SEC#: 801-33020, 8-26892
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

Contact Information

Main Address

5299 Dtc Blvd #800 Suite 800, Greenwood Village, IL 80111

Mailing Address

400 First Street South Suite 300, Saint Cloud, MN 56301

Phone Number

(800) 929-3485

Established

Delaware since 08/31/2012

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

1,138

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISORS LLC ADV 2A AND APPENDIX 1 (3/28/2024)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER—
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
DEL VALLE, ELISA ANNE-MARIEVICE PRESIDENT4807911
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERMANAGER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CHIEF COMPLIANCE OFFICER5059176
MERRILL, GARRETT JAMESVICE PRESIDENT4306692
MITCHELL, CHRISTIAN WINFIELDVICE PRESIDENT6766944
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
MOLNAR, MICHAEL JAMESVICE PRESIDENT4866129
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
NILAND, ERIK BRADLEYVICE PRESIDENT2796476
PATTERSON, GERALDVICE PRESIDENT4302538
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYVICE PRESIDENT2272183
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WENIG, HARLAN DAVIDVICE PRESIDENT4690768

Regulatory Assets Under Management

Total Number of Accounts

81,652

AUM (Assets Under Management)

$21,989,347,265

Disclosures

Regulatory Event

15

Civil Event

1

Arbitration

7

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 05/2023; APX NUMBER OF HOURS PER WEEK: 12; APX NUMBER OF HOURS DURING TRADING HOURS: 12; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, AND OTHER - SECTION 125 WELLNESS PLANS; 2 NAME OF OTHER BUSINESS: STRATEGY PARTNERS , INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 08/2020, POSITION/TITLE/RELATIONSHIP: 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; 3 NAME OF OTHER BUSINESS: MARK KENNINGTON RENTAL PROPERTY, INVESTMENT RELATED: NO, ADDRESS: 8605 MARY'S CREEK DRIVE, FORT WORTH, TX, 76116 NATURE OF BUSINESS: REAL ESTATE, START DATE: 05/2014, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: INTERACT WITH PROPERTY MANAGEMENT COMPANY AS NEEDED; 4. NAME OF OTHER BUSINESS: MARK KENNINGTON; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE SERVICES; START DATE: 05/2023; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SELLING INSURANCE PRODUCTS AND SECTION 125 WELLNESS PLANS; 5. NAME OF OTHER BUSINESS: GIG WORKER SOLUTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: REFERRALS; START DATE : 09/2023; POSITION/TITLE/RELATIONSHIP: REFERER; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: REFER SELF EMPLOYED INDIVIDUALS TO GIG WORKER SOLUTIONS FOR SERVICES;

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2022About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2018About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 2018About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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