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Mark Alan Phillips

Cetera Investment Advisers LLC

Tampa, FL

CRD 1528578

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-01-12
FL RA APPROVED 2019-07-03
  • TX RA
    APPROVED_RES
    Since 2023-01-12
  • FL RA
    APPROVED
    Since 2019-07-03

Branch Locations

1715 N Westshore Blvd Ste 260, Tampa, FL 33607 • 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
Foresters Financial Tampa FL 06/1986 06/2019
Foresters Advisory Services, Llc Newburgh NY 08/2012 06/2019
Humana Tampa FL 08/2013 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
Cetera Investment Advisers Llc Tampa FL 06/2019 Present
  • 06/1986 → 06/2019
    Foresters Financial
    Tampa, FL
  • 08/2012 → 06/2019
    Foresters Advisory Services, Llc
    Newburgh, NY
  • 08/2013 → Present
    Humana
    Tampa, FL
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2019 → Present
    Cetera Investment Advisers Llc
    Tampa, FL
Previous Registrations
  • 2012-10-03 → 2019-06-25
    Foresters Advisory Services, Llc
    Tampa, FL
Other Businesses

1. HUMANA DENTAL PLANS. DOES NOT INVOLVE CLIENTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-09-04
S63 Uniform Securities Agent State Law Examination 1999-04-27
  • S65 Uniform Investment Adviser Law Examination
    2012-09-04
  • S63 Uniform Securities Agent State Law Examination
    1999-04-27

View on SEC IAPD

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STRATEGIC WEALTH INVESTMENT GROUP, LLC · Tampa, FL
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