Bret D. Mulvaney

CRD#: 6625315

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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.

Bret Daniel Mulvaney, CFP® was a registered financial professional .

Bret is a previously registered financial professional and started their career in finance in 2016. Bret had worked at 3 firms .

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)

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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Past

October 7, 2022 - February 20, 2025

CAPITAL CITY WEALTH MANAGEMENT, INC.

RIA

CRD#: 172199

THE WOODLANDS, TX

Past

October 15, 2021 - October 19, 2022

LIBERTY WEALTH ADVISORS, LLC

RIA

CRD#: 107774

College Station, TX

Past

March 22, 2016 - September 18, 2021

BRIAUD FINANCIAL ADVISORS

RIA

CRD#: 105638

COLLEGE STATION, TX

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".

CAPITAL CITY WEALTH MANAGEMENT, INC.

CAPITAL CITY WEALTH MANAGEMENT | CAPITAL CITY WEALTH MANAGEMENT, INC.

CRD#: 172199 / SEC#: 801-131838

RIA

Registered Investment Advisory firm - (1/30/2025 Approved)

North Dakota

Registered Investment Advisory firm - (2/6/2025 Terminated)

South Dakota

Registered Investment Advisory firm - (12/6/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/6/2025 Terminated)

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).

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

Current Firm

CAPITAL CITY WEALTH MANAGEMENT, INC.

CAPITAL CITY WEALTH MANAGEMENT | CAPITAL CITY WEALTH MANAGEMENT, INC.

CRD#: 172199 / SEC#: 801-131838

RIA

Registered Investment Advisory firm - (1/30/2025 Approved)

North Dakota

Registered Investment Advisory firm - (2/6/2025 Terminated)

South Dakota

Registered Investment Advisory firm - (12/6/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/6/2025 Terminated)

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Contact information

Main Address

1000 Tacoma Avenue Suite 200, Bismarck, ND 58504

Mailing Address

Phone number

(701) 250-7220

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2026-02-18 CAPITAL CITY WEALTH MANAGEMENT FORM ADV PART 2A APPENDIX 1 (2/18/2026)

Regulatory assets under management

Total Number of Accounts	298
AUM (Assets Under Management)	$ 130,000,000

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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Bret D. Mulvaney

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL CITY WEALTH MANAGEMENT, INC.

LIBERTY WEALTH ADVISORS, LLC

BRIAUD FINANCIAL ADVISORS

Primary Firm SEC Registration

CAPITAL CITY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Current Firm

CAPITAL CITY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL CITY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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