Timothy P. Mullaney

MELIUS INVESTMENTS LLC

Laguna Niguel, CA

Some features on this profile are disabled

CRD#: 1897849

Professional summary

Timothy Paul Mullaney, who also goes by Tim Mullaney, is a registered financial advisor currently at MELIUS INVESTMENTS LLC located in Laguna Niguel, California and CAVU SECURITIES LLC located in New York, New York.

Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Timothy has worked at 6 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tim Mullaney

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Timothy P. Mullaney is dually-registered with Melius Investments, LLC as an Investment Advisor Representative and with CAVU Securities LLC as a Registered Representative. Business is conducted from 45 Westgate, Laguna Niguel, CA 92677. Approximately 50% of business time is allocated to each business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Paul Mullaney's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 7, 2020 - Present

MELIUS INVESTMENTS LLC

RIA

CRD#: 306901

Laguna Niguel, CA

Current

June 20, 2019 - Present

CAVU SECURITIES LLC

Office #1: 777 Third Avenue Suite 2102, New York, NY 10017

CRD#: 6906

New York, NY

Past

January 11, 2011 - June 19, 2019

CASTLEOAK SECURITIES, LP

CRD#: 125334

NEW YORK, NY

Past

October 18, 2000 - March 11, 2005

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

February 17, 1998 - September 25, 2000

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

January 1, 1998 - February 13, 1998

FUNDS DISTRIBUTOR, LLC

CRD#: 7174

PORTLAND, ME

Past

August 19, 1996 - August 22, 1997

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/20/2019)

Arizona
(6/20/2019)

Arkansas
(1/18/2022)

California
(6/20/2019)

IAR

California
(4/7/2020)

Colorado
(6/20/2019)

Connecticut
(6/20/2019)

Delaware
(6/20/2019)

District of Columbia
(6/20/2019)

Florida
(6/20/2019)

Georgia
(6/20/2019)

Hawaii
(3/26/2021)

Idaho
(3/26/2021)

Illinois
(6/20/2019)

Indiana
(8/16/2021)

Iowa
(3/26/2021)

Kentucky
(6/20/2019)

Louisiana
(6/20/2019)

Maine
(2/17/2021)

Maryland
(6/20/2019)

Massachusetts
(2/11/2021)

Michigan
(3/26/2021)

Mississippi
(3/26/2021)

Missouri
(6/20/2019)

Nebraska
(3/26/2021)

Nevada
(6/20/2019)

New Hampshire
(6/20/2019)

New Jersey
(6/20/2019)

New York
(6/20/2019)

North Carolina
(6/20/2019)

Ohio
(6/21/2019)

Oklahoma
(3/26/2021)

Oregon
(6/20/2019)

Pennsylvania
(6/20/2019)

Rhode Island
(6/20/2019)

South Carolina
(6/20/2019)

South Dakota
(3/26/2021)

Texas
(6/20/2019)

Utah
(6/20/2019)

Vermont
(3/26/2021)

Virginia
(6/20/2019)

Washington
(6/20/2019)

West Virginia
(3/26/2021)

Wisconsin
(6/20/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/5/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/26/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/9/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/16/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MELIUS INVESTMENTS LLC

MELIUS INVESTMENTS | MIGMIR LLC | MELIUS INVESTMENTS LLC

CRD#: 306901 / SEC#:

California

Registered Investment Advisory firm - (4/7/2020 Approved)

Connecticut

Registered Investment Advisory firm - (11/13/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Laguna Niguel, CA

Mailing Address

Phone number

(617) 686-0800

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	15
AUM (Assets Under Management)	$ 1,963,751

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Timothy P. Mullaney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Paul Mullaney's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAVU SECURITIES LLC

CASTLEOAK SECURITIES, LP

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

MANNING & NAPIER INVESTOR SERVICES, INC.

FUNDS DISTRIBUTOR, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/5/2020

Series 63

Date: 2/26/2011

Series 65

Date: 3/9/1998

SIE

Date: 10/1/2018

Series 7

Date: 1/10/2011

Series 6

Date: 8/16/1996

Series 24

Date: 6/22/1999

FINRA

Current Firm

MELIUS INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MELIUS INVESTMENTS LLC

TRUST BUT VERIFY

Similar Advisors