Mark Gerald Willis

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:

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2023-06-29

CT RA
APPROVED

Since 2023-06-29

Branch Locations

Simsbury, CT • 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

Organization	City	State	From	To
Voya Financial Advisors, Inc.	Simsbury	CT	04/2015	06/2021
Cetera Wealth Services, Llc	El Segundo	CA	06/2021	Present
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present
The Retirement Paycheck Company, Llc	Simsbury	CT	09/2025	Present

04/2015 → 06/2021

Voya Financial Advisors, Inc.

Simsbury, CT
06/2021 → Present

Cetera Wealth Services, Llc

El Segundo, CA
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL
09/2025 → Present

The Retirement Paycheck Company, Llc

Simsbury, CT

Previous Registrations

2015-04-27 → 2021-06-09

Voya Financial Advisors, Inc.

Wethersfield, CT

Simsbury, CT

Glastonbury, CT
2008-12-11 → 2013-05-23

Voya Investment Management Co. Llc

New York, NY

Other Businesses

1. NAME OF ENTITY: Retirement Income Resources, LLC; Yes; 11 E WEATOGUE ST; SIMSBURY; CT; 6070; DBA; Financial Advisor; 4/10/2015; 100; 85; sales & service of investment clients; 2. NAME OF OTHER BUSINESS: CRISTO REY BROOKLYN HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 710 E. 37TH ST, BROOKLYN, NY, 11203; NATURE OF BUSINESS: BOARD; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/CHAIRMAN OF FINANCE COMMITTEE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND BOARD MEETINGS; 3. NAME OF OTHER BUSINESS: THE RETIREMENT PAYCHECK COMPANY, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-03-13
S63	Uniform Securities Agent State Law Examination	1997-03-11

S65 Uniform Investment Adviser Law Examination

1997-03-13
S63 Uniform Securities Agent State Law Examination

1997-03-11

Other Names

Mark G Willis

View on SEC IAPD