MM
Mary P. Mullen
CETERA INVESTMENT ADVISERS LLC
SIOUX FALLS,, SD 57108
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CRD#: 6394573
MM
Professional summary
Mary Pat Mullen, who also goes by Mary Pat Murphy, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sioux Falls,, South Dakota and CETERA WEALTH SERVICES, LLC located in Sioux Falls, South Dakota.
Mary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Mary has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Pat Murphy
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) KMWF PROPERTIES LLC; POSITION: Member NATURE: Property rental of accounting practice building INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2010; 6009 S. Sharon Ave., Ste 101, Sioux Falls SD 57108, Us; assistance with management of building rental including payment of bills/monitoring of repairs/maintenance needs. 2) KMWF FINANCIAL SERVICES, LLC; POSITION: member/referring advisor NATURE: full service financial services (investments/retirement planning) INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2010; 6009 S. Sharon Ave., Ste. 101, Sioux Falls SD 57108, Us; DESCRIPTION: referring advisor for tax clients of associated CPA firm. 3) CARROLL INSTITUTE POSITION: Treasurer / Member of Board of Directors NATURE: Treasurer / Member of the Board of Directors for the non-profit Organization. Attend monthly meetings INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/29/2024 ADDRESS: 310 S 1ST AVENUE, Ste 101, Sioux Falls SD 57104, United States DESCRIPTION: Attend monthly meetings to guide the Organization, as the treasurer / member of the board, in achieving its non-profit mission
CRS (Client Relationship Summary) - RIA
Click below to view Mary Pat Mullen'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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6009 S. Sharon Avenue Suite 101, Sioux Falls,, SD 57108RIA
CRD#: 105644
SIOUX FALLS,, SD
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6009 S. Sharon Avenue Suite 101, Sioux Falls, SD 57108BD
CRD#: 13572
SIOUX FALLS, SD
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
SIOUX FALLS, SD
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
SIOUX FALLS, SD
Past
January 17, 2018 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
SIOUX FALLS, SD
Past
November 21, 2017 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
SIOUX FALLS, SD
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
South Dakota(9/5/2025)
IAR
South Dakota(9/5/2025)
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.
