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Mark Edward Davies

Cetera Investment Advisers LLC

Latham, NY

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-09-08
  • NY RA
    APPROVED
    Since 2023-09-08

Branch Locations

19 British American Blvd East, Latham, NY 12110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Key Bank Troy NY 01/2007 12/2019
Key Investment Services Llc Albany NY 03/2015 12/2019
M&T Securities, Inc. Troy NY 12/2019 07/2020
Key Investment Services Llc Albany NY 06/2021 09/2023
Keybank Rensselaer NY 02/2021 09/2023
Unemployed West Sand Lake NY 07/2020 02/2021
Cetera Investment Services Llc Saint Cloud MN 09/2023 Present
Cetera Investment Advisers Llc Latham NY 09/2023 Present
  • 01/2007 → 12/2019
    Key Bank
    Troy, NY
  • 03/2015 → 12/2019
    Key Investment Services Llc
    Albany, NY
  • 12/2019 → 07/2020
    M&T Securities, Inc.
    Troy, NY
  • 06/2021 → 09/2023
    Key Investment Services Llc
    Albany, NY
  • 02/2021 → 09/2023
    Keybank
    Rensselaer, NY
  • 07/2020 → 02/2021
    Unemployed
    West Sand Lake, NY
  • 09/2023 → Present
    Cetera Investment Services Llc
    Saint Cloud, MN
  • 09/2023 → Present
    Cetera Investment Advisers Llc
    Latham, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-02
S63 Uniform Securities Agent State Law Examination 2009-01-12
  • S66 Uniform Combined State Law Examination
    2016-02-02
  • S63 Uniform Securities Agent State Law Examination
    2009-01-12

View on SEC IAPD

Other Firms

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EAGLE STRATEGIES LLC
MML INVESTORS SERVICES, LLC
CAPABLE WEALTH, LLC
LPL FINANCIAL LLC
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
GALLAGHER FIDUCIARY ADVISORS, LLC

Other Investors

Becky M Sciortino
CHRISTOPHER MICHAEL INGEMIE
DAVID P MARTIN
DANIEL SCOTT SULLIVAN
Nicholas Arthur Mattiello
John Michael Daniels
Zachary T Rupert
Christopher Welfley

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LATHAM, NY
AMERIPRISE FINANCIAL SERVICES, LLC · Latham, NY
EAGLE STRATEGIES LLC · LATHAM, NY
MML INVESTORS SERVICES, LLC · LATHAM, NY
CAPABLE WEALTH, LLC · LATHAM, NY
LPL FINANCIAL LLC · LATHAM, NY
LPL FINANCIAL LLC · LATHAM, NY
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · LATHAM, NY

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