FM
Francis M. Mullady
CETERA INVESTMENT ADVISERS LLC
WOODBURY, NY 11797
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CRD#: 4747835
FM
Professional summary
Francis Michael Mullady, who also goes by Francis M Mullady, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woodbury, New York and CETERA WEALTH SERVICES, LLC located in Woodbury, New York.
Francis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Francis has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Francis M Mullady
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.)LICENSED INSURANCE AGENT OFFERING NON-VARIABLE INSURANCE PRODUCTS 2.)THE HERITAGE GROUP 105 BROADHOLLOW RD MELVILLE, NY 11747 FOR 15 TRADING AND 0 HOURS SINCE 6/2008/// 3.) NAME OF OTHER BUSINESS: HERITAGE ADMINISTRATIVE SERVICES; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: THIRD PARTY ADMINISTRATION; START DATE: 01/2004 POSITION/TITLE/RELATIONSHIP: NATIONAL SALES DIRECTOR; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: MARKETING AND SERVICE CORPORATE BUSINESS OWNERS: 4.) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2008 APX NUMBER OF HOURS PER WEEK: 15; APX NUMBER OF HOURS DURING TRADING HOURS: 15; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, AND ACCIDENTAL; 5.) NAME OF OTHER BUSINESS: HG LINK, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING SERVICES; START DATE: 01/2023; POSITION/TITLE/RELATIONSHIP: PART OWNER/ SALES DIRECTOR; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: PROVIDE MARKETING SERVICES FOR A THIRD PARTY ADMINISTRATOR OF 401K PLANS;
CRS (Client Relationship Summary) - RIA
Click below to view Francis Michael Mullady'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 100 Crossways Park W Ste 413, Woodbury, NY 11797RIA
CRD#: 105644
WOODBURY, NY
Current
September 3, 2013 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 100 Crossways Park W Ste 413, Woodbury, NY 11797BD
CRD#: 13572
Woodbury, NY
Past
March 31, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WOODBURY, NY
Past
June 25, 2008 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
WOODBURY, NY
Past
June 30, 2004 - June 19, 2008
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKE SUCCESS, NY
Past
April 9, 2004 - June 19, 2008
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LAKE SUCCESS, 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
California(3/6/2020)
RR
District of Columbia(9/3/2013)
RR
Florida(4/11/2022)
RR
New Jersey(9/3/2013)
RR
New York(9/3/2013)
IAR
New York(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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.
