Carla A. Muldoon
Professional summary
Carla Ann Muldoon, who also goes by Carla Ann Haske, Carla Ann Mayo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Richmond, Virginia and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Carla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Carla has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carla Ann Muldoon's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 21, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
January 10, 2001 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301March 25, 2008 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 9, 2006 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
October 19, 1988 - November 1, 2001
COMPULIFE INVESTOR SERVICES, INC.
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
(6/26/2001)
(6/27/2001)
(6/26/2001)
(6/26/2001)
(6/26/2001)
(6/26/2001)
(3/31/2021)
(3/24/2008)
(1/21/2014)
(11/13/2014)
(11/17/2014)
(6/27/2001)
(6/26/2001)
(1/21/2014)
Exams
FINRA
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
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