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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

MARK JOSEPH RIGGS

Advisor at CETERA INVESTMENT ADVISERS LLC

HANOVER, PA

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Search this name across graphsid dfx:ria:605ac3b6-d655-433d-22d5-abb99d3c5f0c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 24, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 23, 2006
First registration: Jan 24, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5071330

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jun 29, 2023	n/a	yes	HANOVER, PA	Current employment
SUMMIT FINANCIAL GROUP INC	Former SEC adviser	Jun 4, 2012	May 20, 2021	no	HANOVER, PA\|HANOVER, PA\|HANOVER, PA	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Oct 2, 2007	Jun 22, 2012	no	HANOVER, PA	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Jan 24, 2006	Oct 4, 2007	no	HANOVER, PA\|ABBOTTSTOWN, PA\|GETTYSBURG, PA\|Gettysburg, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SUMMIT FINANCIAL GROUP INC	CETERA INVESTMENT ADVISERS LLC	May 20, 2021	Jun 29, 2023	770	Bulk transfer	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	SUMMIT FINANCIAL GROUP INC	Jun 22, 2012	Jun 4, 2012	-18	Firm change	Other
THRIVENT INVESTMENT MANAGEMENT INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Oct 4, 2007	Oct 2, 2007	-2	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ SUMMIT FINANCIAL GROUP INCRegistered adviserregistration: previous registration
Jun 4, 2012 to May 20, 2021factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Oct 2, 2007 to Jun 22, 2012factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jan 24, 2006 to Oct 4, 2007factForm ADV

Dated events

No dated event names this entity yet.