Nicholas P. Mullally

ALAMO CAPITAL

Walnut Creek, CA 94596

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CRD#: 5711816

Professional summary

Nicholas Paul Mullally is a registered financial advisor currently at ALAMO CAPITAL located in Walnut Creek, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nicholas has worked at 1 firm and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Paul Mullally's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Paul Mullally'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

December 9, 2011 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596

RIA

CRD#: 26193

Walnut Creek, CA

Current

January 21, 2010 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596

RIA

CRD#: 26193

Walnut Creek, CA

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

California
(12/9/2011)

IAR

California
(12/9/2011)

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: 7/28/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/6/2022

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALAMO CAPITAL

A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL

CRD#: 26193 / SEC#: , 8-42293

California

Registered Investment Advisory firm - SEC (1/2/2002 Approved)

Nevada

Registered Investment Advisory firm - SEC (12/29/2017 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

201 N Civic Dr #180, Walnut Creek, CA 94596-3761

Mailing Address

201 N Civic Dr Suite 180, Walnut Creek, CA 94596

Phone number

(925) 472-5740

Established

California since 08/27/1987

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
MULLALLY, NANCY ANN RUEHLE	CEO	1004052
MULLALLY, NANCY ANN RUEHLE	CFO	1004052
DURDEN JR, JOHN KENNETH	FINOP	860423
KENT-ASTER, ALLISON VICTORIA	CCO	2047679
MULLALLY, WILLIAM JOHN	PRESIDENT	818827

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 81,684,700

Disclosures

Regulatory Event	3
Bond	3

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

Nicholas P. Mullally

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Paul Mullally's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Paul Mullally's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALAMO CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2010

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/20/2010

Series 53

Date: 5/6/2022

Series 24

Date: 11/30/2016

FINRA

Current Firm

ALAMO CAPITAL

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ALAMO CAPITAL

TRUST BUT VERIFY

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