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Detailed Report
COLIN STEPHENSON MACKENZIE III
CRD#: 1142061
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 301 E COLORADO BLVD.
STE 400
PASADENA, CA 91101
CETERA ADVISOR NETWORKS LLCCRD#: 13572 301 E COLORADO BLVD.
STE 400
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS1985 - 1986 (<1 year)3 FIRMS2005 - 2005 (<1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2005 - Present (19 years)BFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)1994 - 2005 (10 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1983 - 1985 (1 year)IACETERA ADVISOR NETWORKS LLC (CRD# 13572)2005 - 2023 (17 years)IAFINANCIAL NETWORK INVESTMENT C... (CRD# 13572)2002 - 2005 (3 years)
License(s)

State Registrations

B
Arizona 1/23/2006
B
Maryland 1/4/2010
B
Arkansas 1/2/2008
B
South Carolina 1/4/2010
B
California 11/9/2005
B
Tennessee 11/17/2009
IA
California 6/29/2023
B
Texas 2/12/2025
B
Colorado 1/2/2008
IA
Texas 2/12/2025
B
Illinois 1/23/2006
B
Washington 1/3/2007
B
Indiana 11/9/2005
B
Wisconsin 1/23/2006

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
301 E COLORADO BLVD. STE 400, PASADENA, CA 91101
MISSION VIEJO, CA
Registered with this firm since 6/29/2023
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
301 E COLORADO BLVD. STE 400, PASADENA, CA 91101
MISSION VIEJO, CA
Registered with this firm since 11/9/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 11/10/2005 - 06/29/2023 CETERA ADVISOR NETWORKS LLC (CRD#:13572) EL SEGUNDO, CA
IA
 03/31/2005 - 10/06/2005 ASSOCIATED PLANNERS INVESTMENT ADVISORY INC (CRD#:104790) LOS ANGELES, CA
IA
 03/24/2005 - 10/06/2005 ASSOCIATED SECURITIES CORP. (CRD#:12969) LOS ANGELES, CA
B
 03/18/2005 - 10/06/2005 ASSOCIATED SECURITIES CORP. (CRD#:12969) BOSTON, MA
IA
 02/21/2002 - 03/24/2005 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) PASADENA, CA
B
 07/18/1994 - 03/24/2005 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) EL SEGUNDO, CA
B
 04/01/1985 - 02/25/1986 EQUICO SECURITIES, INC. (CRD#:6627)
B
 04/16/1985 - 02/24/1986 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039)
B
 06/22/1983 - 01/11/1985 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.