Brian J. Mallon

CETERA INVESTMENT ADVISERS LLC

TAMPA, FL 33607

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CRD#: 2227468

Professional summary

Brian John Mallon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Tampa, Florida and CETERA INVESTMENT SERVICES LLC located in Tampa, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian John Mallon's CRS (Customer Relationship Summary).

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

September 17, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1715 N Westshore Boulevard Suite 260, Tampa, FL 33607

RIA

CRD#: 105644

TAMPA, FL

Current

June 19, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 1715 N Westshore Boulevard Suite 260, Tampa, FL 33607

CRD#: 15340

TAMPA, FL

Past

September 11, 2015 - June 25, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

TAMPA, FL

Past

November 5, 2014 - January 29, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Tampa, FL

Past

April 28, 1999 - February 1, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

July 26, 1996 - April 28, 1999

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

September 26, 1994 - August 6, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

June 10, 1992 - October 10, 1994

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

April 20, 1992 - June 5, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

April 10, 1992 - April 28, 1992

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

Florida
(6/20/2019)

IAR

Florida
(9/17/2021)

Pennsylvania
(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 65

Date: 8/27/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/10/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/17/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/5/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Brian J. Mallon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian John Mallon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

FORESTERS FINANCIAL SERVICES, INC.

PRINCIPAL SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

NORTHEAST SECURITIES, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JOSEPHTHAL & CO., INC.

CHATFIELD DEAN & CO., INC.

FIRST ASSET MANAGEMENT, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2021

Series 66

Date: 4/10/2018

Series 63

Date: 9/17/2015

SIE

Date: 10/1/2018

Series 7

Date: 11/5/2014

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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