GM
Gregory S. Mcmullen
CETERA WEALTH SERVICES
San Diego, CA
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CRD#: 4197141
GM
Professional summary
Gregory Scott Mcmullen is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in San Diego, California.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2000. Gregory has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Gregory Scott Mcmullen'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®
NoneExperience
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
San Diego, CA
Past
November 16, 2018 - July 2, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
San Diego, CA
Past
November 16, 2018 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
San Diego, CA
Past
September 8, 2015 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
RIA
CRD#: 18464
SAN DIEGO, CA
Past
April 7, 2014 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
October 7, 2010 - December 2, 2013
MIDAMERICA FINANCIAL SERVICES, INC.
BD
CRD#: 47351
SAN DIEGO, CA
Past
February 21, 2007 - December 31, 2008
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
SAN DIEGO, CA
Past
February 21, 2007 - December 31, 2008
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
SAN DIEGO, CA
Past
September 29, 2006 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
RIA
CRD#: 3600
SAN DIEGO, CA
Past
December 1, 2004 - December 31, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
SAN DIEGO, CA
Past
June 20, 2000 - August 26, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(2/20/2025)
RR
Florida(2/20/2025)
RR
Georgia(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Massachusetts(2/20/2025)
RR
Nevada(2/20/2025)
RR
North Carolina(2/18/2026)
RR
Ohio(2/20/2025)
RR
Oregon(2/20/2025)
RR
South Dakota(5/5/2025)
RR
Tennessee(12/10/2025)
RR
Texas(2/20/2025)
RR
Virginia(2/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 20 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
