John D. Mullin

CETERA INVESTMENT ADVISERS LLC

WINSTON-SALEM, NC 27104

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CRD#: 4544945

Professional summary

John Damian Park Mullin, who also goes by John Damian Mullin, John Damian Surgheon Mullin, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Winston-salem, North Carolina and CETERA INVESTMENT SERVICES LLC located in Winston-salem, North Carolina.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Damian Mullin | John Damian Surgheon Mullin

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 LIFE INSURANCE SALES OUTSIDE OF CETERA 2) RENTAL PROPERTY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Damian Park Mullin'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

April 29, 2016 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 161 S Stratford Road, Winston-salem, NC 27104

RIA

CRD#: 105644

WINSTON-SALEM, NC

Current

April 29, 2016 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 161 S Stratford Road, Winston-salem, NC 27104

CRD#: 15340

Winston-salem, NC

Past

January 13, 2009 - May 19, 2016

M&T SECURITIES, INC.

RIA

CRD#: 17358

Timonium, MD

Past

January 13, 2009 - May 19, 2016

M&T SECURITIES, INC.

CRD#: 17358

Timonium, MD

Past

August 22, 2008 - December 23, 2008

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

SPARKS, MD

Past

April 30, 2008 - December 23, 2008

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

SPARKS, MD

Past

June 2, 2003 - April 11, 2008

M&T SECURITIES, INC.

CRD#: 17358

COCKEYSVILLE, MD

Past

October 10, 2002 - January 8, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 10, 2002 - January 8, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

August 19, 2002 - September 12, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 19, 2002 - September 12, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Arkansas
(7/10/2024)

Connecticut
(7/6/2018)

Delaware
(4/29/2016)

District of Columbia
(2/15/2024)

Florida
(5/9/2016)

Georgia
(5/16/2018)

Maryland
(4/29/2016)

Missouri
(10/21/2025)

New York
(11/2/2018)

North Carolina
(7/17/2018)

IAR

North Carolina
(8/9/2018)

Pennsylvania
(4/29/2016)

South Carolina
(8/16/2016)

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: 8/21/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2003

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: 8/16/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/2011

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/20/2010

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

John D. Mullin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Damian Park Mullin's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

M&T SECURITIES, INC.

M&T SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

M&T SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2008

Series 63

Date: 11/13/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2002

Series 24

Date: 8/30/2011

Series 26

Date: 5/20/2010

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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