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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

MARK R LYONS

Advisor at CETERA INVESTMENT ADVISERS LLC

COLORADO SPRINGS, CO | WELLSVILLE, UT

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Search this name across graphsid dfx:ria:f49b350c-9294-3f98-fbde-87c97d217456

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 27, 2004 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: May 21, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S66
First exam: May 21, 2004
First registration: Sep 27, 2004
Dual registered: yes, broker-dealer
Other names: MARK LYONS
IAPD individual key: 4789740

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	Mar 21, 2024	n/a	yes	WELLSVILLE, UT\|COLORADO SPRINGS, CO	Current employment
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Oct 12, 2007	Dec 14, 2012	no	COLORADO SPRINGS, CO	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jul 25, 2006	Sep 10, 2007	no	COLORADO SPRINGS, CO\|DENVER, CO	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Sep 27, 2004	Jul 25, 2006	no	ENGLEWOOD, CO\|COLORADO SPRINGS, CO\|ENGLEWOOD, CO	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
NEW ENGLAND SECURITIES CORPORATION	CETERA INVESTMENT ADVISERS LLC	Dec 14, 2012	Mar 21, 2024	4,115	Firm change after gap	Other
MML INVESTORS SERVICES, LLC	NEW ENGLAND SECURITIES CORPORATION	Sep 10, 2007	Oct 12, 2007	32	Firm change	Other
PRUCO SECURITIES, LLC	MML INVESTORS SERVICES, LLC	Jul 25, 2006	Jul 25, 2006	0	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Oct 12, 2007 to Dec 14, 2012factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jul 25, 2006 to Sep 10, 2007factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Sep 27, 2004 to Jul 25, 2006factForm ADV

Dated events

No dated event names this entity yet.