Mark A. Carnes
Professional summary
Mark Alan Carnes, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Bradenton, Florida.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Carnes's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1989
Experience
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10955 Lowell Ave Ste 900 910, 920, 100, And 200, Overland Park, KS, 66210January 1, 2004 - Present
CETERA ADVISORS LLC
Office #2: 10955 Lowell Ave Ste 920, Overland Park, KS 66210January 1, 2004 - March 21, 2024
CETERA ADVISORS LLC
October 12, 1999 - December 31, 2004
PROSPERITY NETWORK, INC
June 18, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
May 19, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 1, 1989 - May 21, 1999
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1989 - May 21, 1999
OSAIC FA, INC.
March 5, 1986 - June 8, 1989
WS GRIFFITH SECURITIES, INC.
August 20, 1980 - May 27, 1986
HESS INVESTMENT CO.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/1/2004)
(1/3/2022)
(1/1/2004)
(1/1/2004)
(3/27/2025)
(9/5/2023)
(9/10/2024)
(5/20/2022)
(1/1/2004)
(3/21/2024)
(1/1/2004)
(1/1/2004)
(1/2/2014)
(7/6/2006)
(8/1/2013)
(1/1/2004)
(3/21/2024)
(8/27/2014)
(1/1/2004)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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