Mark Alan Mappa

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2016 → 01/2024
  Woodbury Financial Services Inc
  Glenview, IL
• 01/2024 → 12/2024
  Osaic Wealth, Inc.
  Northbrook, IL
• 12/2024 → Present
  Cetera Advisors
  St. Cloud, MN
• 12/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 03/1989 → Present
  Mappa Wealth Management
  Deerfield, IL

Previous Registrations

• 2024-01-19 → 2024-12-16
  Osaic Wealth, Inc.
  Northbrook, IL
• 2016-03-24 → 2024-01-19
  Woodbury Financial Services, Inc.
  Glenview, IL
  Naples, FL
  Northbrook, IL
• 2003-12-11 → 2016-03-31
  Kestra Investment Services, Llc
  Northfield, IL
  Glenview, IL
  Glenview, IL
• 2002-03-20 → 2003-12-18
  Veravest Investment Advisors, Inc.
  Glenview, IL

Other Businesses

1. NAME OF OTHER BUSINESS: MAPPA WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMPREHENSIVE FINANCIAL PLANNING START DATE: 03/1989 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 20 APX NUMBER OF HOURS DURING TRADING HOURS: 20 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR, INSURANCE PRODUCER; 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: 03/1989 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 3. NAME OF OTHER BUSINESS: MARK MAPPA, AUTHOR OF CASH FLOW IS KING BOOK INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BOOK SALES FOR MARKETING AND PROSPECTING START DATE: 04/2019 POSITION/TITLE/RELATIONSHIP: OWNER/AUTHOR APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: AUTHOR OF BOOK, CASH FLOW IS KING;

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-05-02
• S63 Uniform Securities Agent State Law Examination
  1992-01-10

Designations

• Certified Financial Planner