Mark Andrew Carruthers

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

• 10/2005 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 10/2005 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 02/2018 → Present
  Hudson Valley Financial Services
  Congers, NY

Previous Registrations

• 2001-06-15 → 2005-10-24
  C.J.M. Asset Management, Llc
  Pompton Lakes, NJ

Other Businesses

1.NAME OF OTHER BUSINESS: HUDSON VALLEY FINANCIAL SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 2/2018 POSITION/TITLE/RELATIONSHIP: CERTIFIED FINANCIAL PLANNER APX NUMBER OF HOURS PER WEEK: 45 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA 2) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: RENTAL PROPERTY ; START DATE: 01/2007 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: MINIMAL ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES ;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-11
• S63 Uniform Securities Agent State Law Examination
  1996-09-27

Designations

• Certified Financial Planner