John Q. Mulvaney

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CRD#: 2558923

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.

John Quincy Mulvaney, AIF® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1994. John had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

1.FIXED INSURANCE AGENT. PROVIDE LIFE INSURANCE AND LONG TERM CARE INSURANCE SERVICE TO CLIENTS. 1% OF TIME AND 1% OF INCOME ON THIS BUSINESS. 2. INCOME TAX PREPARATION-PREPARE FEDERAL AND STATE INCOME TAX RETURNS FOR CLIENTS. 7% OF TIME AND 2% OF INCOME FROM THIS BUSINESS. 3. NAME OF OTHER BUSINESS:PLAN WELL LIVE WELL ; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES ; START DATE: 12/2018 ; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE ; APX NUMBER OF HOURS PER WEEK: 30-40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30-32.5 ; BRIEF DESCRIPTION OF DUTIES: HELP CLIENTS ACHIEVE THEIR FINANCIAL GOALS ;

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

AIF^®

Accredited Investment Fiduciary

Experience

Past

June 29, 2023 - October 13, 2025

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

ROSEVILLE, CA

Past

February 24, 2011 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ROSEVILLE, CA

Past

February 24, 2011 - October 13, 2025

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ROSEVILLE, CA

Past

May 29, 2001 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

ROSEVILLE, CA

Past

May 25, 2001 - February 11, 2011

QA3 FINANCIAL LLC

RIA

CRD#: 104957

ROSEVILLE, CA

Past

December 18, 1998 - May 29, 2001

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

April 23, 1996 - August 19, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

December 23, 1994 - December 18, 1998

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/22/1994

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: 8/29/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/22/1994

Investment Company Products/Variable Contracts Representative Examination

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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John Q. Mulvaney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

QA3 FINANCIAL CORP.

QA3 FINANCIAL LLC

NATIONAL PLANNING CORPORATION

VOYA FINANCIAL ADVISORS, INC.

ARAGON FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2000

Series 63

Date: 12/22/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2000

Series 6

Date: 12/22/1994

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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