JM
Jeffrey B. Marks
PRIME FINANCIAL STRATEGIES
COLORADO SPRINGS, CO 80917
Some features on this profile are disabled
CRD#: 853194
JM
Professional summary
Jeffrey Brian Marks, AIF®, who also goes by Jeff Marks, 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.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Jeffrey has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff Marks
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: 12/1989; POSITION/TITLE/RELATIONSHIP: PRESIDENT / FOUNDER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2017; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE; 3. 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: 1989; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING, INCLUDING REFERRING TRUST BUSINESS. 4. NAME OF OTHER BUSINESS: SUCCESSOR TRUSTEE FOR FATHER IN LAW; INVESTMENT RELATED: NO ADDRESS: 2643 AVALANCHE HEIGHTS, COLORADO SPRINGS, CO 80918; NATURE OF BUSINESS: TRUST; START DATE: 02/2012; POSITION/TITLE/RELATIONSHIP: SUCCESSOR TRUSTEE APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE CURRENTLY; 5. NAME OF OTHER BUSINESS: MARKS & ASSOCIATES LLC; INVESTMENT RELATED: NO; ADDRESS: 6800 DUKE DR, COLORADO SPRINGS, CO 80918; NATURE OF BUSINESS: COMMERCIAL BUILDING; START DATE: 09/2004; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: NONE; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: NONE;
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Brian 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®
Experience
Current
January 1, 1999 - Present
PRIME FINANCIAL STRATEGIES, INC.
Office #1: 3253 W. Carefree Circle, Colorado Springs, CO 80917RIA
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
June 27, 2011 - October 16, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
COLORADO SPRINGS, CO
Past
June 28, 2010 - December 31, 2010
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
COLORADO SPRINGS, CO
Past
July 15, 2009 - August 1, 2012
ADVANTAGE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 146236
COLORADO SPRINGS, CO
Past
February 2, 2001 - December 31, 2009
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
COLORADO SPRINGS, CO
Past
February 2, 2001 - October 16, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
COLORADO SPRINGS, CO
Past
January 6, 1995 - February 13, 2001
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
October 3, 1990 - December 31, 1994
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
March 17, 1989 - October 3, 1989
MOUNTAIN STATES INVESTMENTS, INC.
BD
CRD#: 7881
LAKEWOOD, CO
Past
March 15, 1988 - March 28, 1989
MENLO INVESTMENT CORPORATION
BD
CRD#: 19195
Past
June 22, 1984 - December 21, 1987
NEW ENGLAND SECURITIES
BD
CRD#: 615
Past
June 9, 1978 - November 17, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
June 9, 1978 - November 17, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
June 9, 1978 - November 17, 1978
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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(10/12/2017)
RR
Arizona(10/12/2017)
RR
California(10/12/2017)
IAR
Colorado(1/1/1999)
RR
Colorado(10/12/2017)
RR
District of Columbia(10/12/2017)
RR
Illinois(10/12/2017)
RR
Iowa(10/12/2017)
RR
Kansas(7/6/2021)
RR
Louisiana(3/10/2021)
RR
Massachusetts(10/12/2017)
RR
Michigan(10/12/2017)
RR
Minnesota(10/12/2017)
RR
Montana(9/27/2024)
RR
New York(10/12/2017)
RR
North Carolina(4/19/2023)
RR
Ohio(10/12/2017)
RR
Oregon(1/2/2025)
RR
South Carolina(10/12/2017)
RR
South Dakota(10/12/2017)
RR
Texas(10/12/2017)
IAR
Texas(3/21/2024)
RR
Utah(8/28/2024)
RR
Virginia(10/12/2017)
RR
Washington(11/1/2017)
RR
Wisconsin(10/12/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/24/1978
Registered Representative ExaminationPrincipal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Colorado Springs, CO 80917TRUST BUT VERIFY
Monitor Jeffrey Marks
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
