RM
Ryan A. Maul
CETERA INVESTMENT ADVISERS LLC
SAN DIEGO, CA 92101
Some features on this profile are disabled
CRD#: 4032145
RM
Professional summary
Ryan Alexander Maul, CFP®, who also goes by Ryan Alexander Maul, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ryan has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 31, Series 7, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan Alexander Maul
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Alexander Maul'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®
Experience
Current
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101RIA
CRD#: 105644
SAN DIEGO, CA
Current
April 8, 2020 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101Office #2: 655 W Broadway12th Fl, San Diego, CA 92101Office #3: 655 W Broadway12th Fl, San Diego, CA 92101Office #4: 2820 Central Avenue, Homewood, AL 35203BD
CRD#: 10299
SAN DIEGO, CA
Current
July 2, 2024 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 15340
SAN DIEGO, CA
Current
July 2, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway 12th Fl, San Diego, CA 92101Office #3: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 13572
SAN DIEGO, CA
Current
July 2, 2024 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101Office #2: 655 W Broadway 12th Fl, San Diego, CA 92101BD
CRD#: 10358
SAN DIEGO, CA
Past
July 2, 2024 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SAN DIEGO, CA
Past
January 20, 2022 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
SAN DIEGO, CA
Past
July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN DIEGO, CA
Past
February 9, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SAN DIEGO, CA
Past
February 6, 2009 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
October 13, 2004 - January 9, 2009
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
SANTA MONICA, CA
Past
October 12, 2004 - January 9, 2009
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
SANTA MONICA, CA
Past
March 25, 2004 - October 20, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
March 25, 2004 - October 20, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
July 31, 2001 - July 1, 2003
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BAKERSFIELD, CA
Past
July 6, 2001 - July 1, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
November 24, 1999 - June 21, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alabama(1/20/2022)
RR
Alaska(1/20/2022)
RR
Arizona(1/20/2022)
RR
Arkansas(1/20/2022)
IAR
California(11/12/2020)
RR
California(1/20/2022)
RR
Colorado(1/20/2022)
RR
Connecticut(1/20/2022)
RR
Delaware(1/20/2022)
RR
District of Columbia(1/20/2022)
RR
Florida(1/20/2022)
RR
Georgia(1/20/2022)
RR
Hawaii(1/20/2022)
RR
Idaho(1/20/2022)
RR
Illinois(1/20/2022)
RR
Indiana(9/8/2022)
RR
Iowa(1/20/2022)
RR
Kansas(1/20/2022)
RR
Kentucky(1/20/2022)
RR
Louisiana(1/20/2022)
RR
Maine(1/20/2022)
RR
Maryland(1/20/2022)
RR
Massachusetts(9/8/2022)
RR
Michigan(1/20/2022)
RR
Minnesota(1/20/2022)
RR
Mississippi(1/20/2022)
RR
Missouri(1/20/2022)
RR
Montana(1/20/2022)
RR
Nebraska(1/27/2022)
RR
Nevada(9/8/2022)
RR
New Hampshire(1/20/2022)
RR
New Jersey(1/20/2022)
RR
New Mexico(1/20/2022)
RR
New York(1/20/2022)
RR
North Carolina(9/8/2022)
RR
North Dakota(1/20/2022)
RR
Ohio(1/20/2022)
RR
Oklahoma(1/20/2022)
RR
Oregon(1/25/2022)
RR
Pennsylvania(1/26/2022)
RR
Puerto Rico(1/20/2022)
RR
Rhode Island(1/20/2022)
RR
South Carolina(1/20/2022)
RR
South Dakota(1/20/2022)
RR
Tennessee(1/20/2022)
RR
Texas(1/20/2022)
IAR
Texas(11/1/2022)
RR
Utah(1/25/2022)
RR
Vermont(1/20/2022)
RR
Virgin Islands(1/20/2022)
RR
Virginia(1/25/2022)
RR
Washington(1/20/2022)
RR
West Virginia(2/10/2022)
RR
Wisconsin(1/20/2022)
RR
Wyoming(1/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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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)
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.
