Thomas P. Muldoon

CETERA INVESTMENT ADVISERS LLC

STATE COLLEGE, PA 16801

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CRD#: 4419935

Professional summary

Thomas Paul Muldoon, AIF®, who also goes by Thomas Paul Muldoon III, Thomas Paul Muldoon III, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in State College, Pennsylvania and CETERA INVESTMENT SERVICES LLC located in State College, Pennsylvania.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 12 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Paul Muldoon Iii | Thomas Paul Muldoon Iii

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 Thomas Paul Muldoon'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 17, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 117 S Allen Street, State College, PA 16801

RIA

CRD#: 105644

STATE COLLEGE, PA

Current

March 17, 2020 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 117 South Allen Street, State College, PA 16801

CRD#: 15340

State College, PA

Past

September 1, 2017 - February 13, 2020

PENSIONMARK SECURITIES, LLC

CRD#: 283952

Duncansville, PA

Past

September 8, 2015 - September 1, 2017

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291

Duncansville, PA

Past

August 28, 2015 - February 13, 2020

WORLD INVESTMENT ADVISORS, LLC

RIA

CRD#: 208512

DUNCANSVILLE, PA

Past

September 9, 2014 - September 4, 2015

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

DUNCANSVILLE, PA

Past

September 5, 2014 - September 2, 2015

LPL FINANCIAL LLC

CRD#: 6413

DUNCANSVILLE, PA

Past

May 16, 2014 - November 14, 2014

TWO POINT ROYAL, LLC

CRD#: 167716

DUNCANSVILLE, PA

Past

February 8, 2005 - September 9, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

DUCANSVILLE, PA

Past

December 8, 2004 - September 9, 2014

FINANCIAL TELESIS INC

CRD#: 31012

DUCANSVILLE, PA

Past

November 5, 2003 - December 1, 2004

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

ROCKVILLE, MD

Past

October 8, 2003 - December 1, 2004

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

Past

August 29, 2002 - July 3, 2003

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

BETHESDA, MD

Past

July 25, 2001 - July 3, 2003

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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

Pennsylvania
(3/17/2020)

IAR

Pennsylvania
(3/17/2020)

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: 9/18/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/2/2005

Investment Company Products/Variable Contracts Principal 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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Firm Stability Insights

Thomas P. Muldoon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Paul Muldoon's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

PENSIONMARK SECURITIES, LLC

CAPFINANCIAL SECURITIES, LLC.

WORLD INVESTMENT ADVISORS, LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

TWO POINT ROYAL, LLC

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

VALMARK ADVISERS, INC.

VALMARK SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2001

Series 26

Date: 9/2/2005

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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