William Mark Yawn

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

• 05/2014 → 09/2019
  Summit Brokerage Services
  Brentwood, TN
• 05/2014 → 05/2021
  Summit Financial Group Inc
  Brentwood, TN
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2014-05-28 → 2021-05-20
  Summit Financial Group Inc
  Brentwood, TN
  Franklin, TN
• 2012-08-31 → 2014-05-29
  Stratos Wealth Partners, Ltd
  Brentwood, TN
• 2008-06-04 → 2013-06-14
  Lpl Financial Llc
  Spring Hill, TN
  Franklin, TN
  Brentwood, TN
  San Diego, CA
  Brentwood, TN
  Spring Hill, TN
  Long Beach, CA
• 2006-05-24 → 2008-06-13
  Ubs Financial Services Inc.
  Franklin, TN
• 2004-01-28 → 2006-05-11
  Morgan Keegan & Company, Llc
  Nashville, TN
  Nashville, TN

Other Businesses

1. LIFE INSURANCE/ANNUITY; INVESTMENT RELATED; SAME AS REGISTERED BRANCH; LIFE INSURANCE, ANNUITIES; INSURANCE AGENT; 08/22/2018; APPX 1 HOUR/MONTH; APPX 1 HOUR/MONTH DURING TRADING; SALE OF LIFE INSURANCE, ANNUITIES

Exams

• S66 Uniform Combined State Law Examination
  2001-05-14
• S63 Uniform Securities Agent State Law Examination
  1994-12-02

Other Names

• Mark William Yawn
• Wm Mark Yawn