William P. Mooney
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Paul Mooney, who also goes by Paul W Mooney, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2019 - October 17, 2019
CETERA INVESTMENT ADVISERS LLC
May 2, 2019 - October 17, 2019
CETERA INVESTMENT SERVICES LLC
February 19, 2015 - June 6, 2017
CUSO FINANCIAL SERVICES, L.P.
February 19, 2015 - June 6, 2017
CUSO FINANCIAL SERVICES, L.P.
July 11, 2014 - February 23, 2015
LPL FINANCIAL LLC
March 17, 2010 - February 23, 2015
LPL FINANCIAL LLC
January 5, 2000 - April 24, 2009
ESSEX NATIONAL SECURITIES, LLC
April 2, 1996 - December 31, 1999
LEIGH BALDWIN & CO., LLC
May 1, 1995 - November 14, 1995
M&T SECURITIES, INC.
July 19, 1994 - May 1, 1995
IFMG SECURITIES, INC.
June 27, 1994 - July 18, 1994
HSBC BROKERAGE (USA) INC.
February 21, 1990 - June 27, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 25, 1988 - January 25, 1990
UBS FINANCIAL SERVICES INC.
August 22, 1984 - December 13, 1988
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
