Kevin P. Mulleady

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CRD#: 5100274

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kevin Patrick Mulleady was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 2006. Kevin had worked at 7 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

Prospero Pharmaceuticals LLC, Not investment related, Address: 525 Washington Blvd, Suite 300, Jersey City, NJ 07310, Nature of other business: Life Sciences, Title: Non-active Managing Partner, Start date: May 2015, Time Spent: Currently inactive.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 16, 2023 - January 2, 2025

FARTHER

RIA

CRD#: 302050

Jersey City, NJ

Past

November 11, 2013 - December 5, 2014

THIRD SEVEN CAPITAL LLC

CRD#: 160209

NEW YORK, NY

Past

June 1, 2009 - April 11, 2011

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

December 19, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 2, 2007 - November 23, 2007

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

WESTBURY, NY

Past

July 23, 2007 - November 23, 2007

NATIONAL SECURITIES CORPORATION

CRD#: 7569

WESTBURY, NY

Past

February 28, 2007 - August 14, 2007

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

NEW YORK, NY

Past

May 25, 2006 - August 14, 2007

GUNNALLEN FINANCIAL, INC

CRD#: 17609

NEW YORK, 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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/10/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/31/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/5/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/14/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/24/2006

General Securities Representative Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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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Advisor Monitoring

Firm Stability Insights

Kevin P. Mulleady

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THIRD SEVEN CAPITAL LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 12/10/2022

Series 66

Date: 8/31/2006

SIE

Date: 12/5/2014

Series 31

Date: 11/14/2008

Series 7

Date: 5/24/2006

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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