Mark Lee Neuenswander

Current Employers

Employment History

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 03/2024 → Present
  Peak Gc Three Llc
  Murray, UT

Previous Registrations

• 2001-05-15 → 2003-06-24
  Cuna Brokerage Services, Inc.
  Murray, UT

Other Businesses

1. SALE OF FIXED INSURANCE - (LIFE, DISABILITY, ANNUITIES, AND LONG-TERM CARE). WORK AT UTAH POWER CREDIT UNION. 2.2. NAME OF OTHER BUSINESS: UTAH POWER CREDIT UNION, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION POSITION/TITLE/RELATIONSHIP: REGISTERED REP START DATE: 02/2020, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PROVIDING FINANCIAL SEVICES OF B/D ON CREDIT UNION PREMISES 3. NAME OF OTHER BUSINESS: PEAK FINANCIAL NETWORK SOLUTIONS INVESTMENT RELATED: YES ADDRESS: 1265 FORT UNION BLVD #115 COTTONWOOD HEIGHTS UT 84047 NATURE OF BUSINESS: INVESTMENT SERVICES TO NON CREDIT UNION CLIENTS START DATE: 2/2016 APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF TRADING HOURS PER WEEK: 4 POSITION/TITLE/RELATIONSHIP: FINANCIAL CONSULTANT BRIEF DESCRIPTION OF DUTIES: INVESTMENT OPTIONS, MUTUAL FUNDS, ANNUITIES; 4. NAME OF OTHER BUSINESS: GREATER NEVADA CREDIT UNION AND/OR GREATER NEVADA FINANCIAL SERVICES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CREDIT UNION; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; START DATE: 3/2023; APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: PLACE/HANDLE/RECOMMEND SECURITIES TRANSACTIONS, MAKE INVESTMENT DECISIONS; 5. NAME OF OTHER BUSINESS: PEAK GC THREE LLC; INVESTMENT RELATED: NO ; ADDRESS: 114 WEST WINCHESTER STREET MURRAY, UT 84107; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HOLDING COMPANY INVESTMENT; 6. NAME OF OTHER BUSINESS: M & N RETIREMENT LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: EXPENSE MANAGEMENT; START DATE: 03/2024; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 10; BRIEF DESCRIPTION OF DUTIES: DBA TO PAY EXPENSES;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-27
• S63 Uniform Securities Agent State Law Examination
  1985-11-18