SM
Sean W. Mullaney
MULLANEY FINANCIAL & TAX
Woodland Hills, CA
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CRD#: 7050416
SM
Professional summary
Sean William Mullaney is a registered financial advisor currently at MULLANEY FINANCIAL & TAX, INC. located in Woodland Hills, California.
Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Sean has worked at 1 firm and has passed the Series 65 exam.
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.
Sean W. Mullaney, the President of MFT, self-published a book titled Solo 401(k): The Solopreneur's Retirement Account, in 2022. The book was sold in limited quantities in September 2022 and fully launched October 4, 2022. The commitment now required by the book, including time promoting the book, and accounting for royalty payments, is relatively minor. These activities generally take 0 to 3 hours a week, depending on promotional activities. Approximately 40 to 70 percent of this time is during securities trading hours. Sean W. Mullaney began working on this project in early 2021. Sean W. Mullaney has started drafting a book (with a co-author) on retirement tax planning. The expectation is that the book will be published in 2025 or 2026. These activities generally take a variable amount of time per week, anywhere from 0 to 25 hours a week while the book is being drafted. Approximately 40 to 70 percent of this time is during securities trading hours. Sean W. Mullaney began working on this project in early 2025. Sean W. Mullaney also is exploring other opportunities to author books, present continuing education courses, speaking opportunities, and related opportunities for compensation. The content of these products would focus mostly on individual tax topics. This other business opportunity is not investment-related. The amount of time per month devoted to these pursuits varies, but currently average approximately 2 hours per month (but will increase if Sean W. Mullaney enters into any contracts to provide any such content). Approximately one-quarter of this time is during securities trading hours. This other business pursuit began in November 2020, and thus far Sean W. Mullaney has had one paid 1 hour speaking engagement (related to publishing his book) in early 2023. Sean W. Mullaney started a YouTube channel in February 2022. The videos discuss tax and other financial topics. The videos will be offered on YouTube, and may be offered on other platforms such as Rumble and Odyssey. In late January 2024 the channel first qualified for monetization under YouTube's partner program. Thus, the videos generate revenue (generally adviser revenue by advertisements placed in the video by the hosting platform). Such pursuits will generally take approximately 4 hours per month, mostly during non-securities trading hours. On occasion, MFT provides links to videos, blog articles, IRS materials, and other sites to clients to help educate them. On occasion, such links may be to Sean Mullaney's personal finance videos, and if the client chooses to watch the recommended video Sean Mullaney may receive royalties from the video provider such as YouTube. Such royalties per video view are currently likely to be less than $1.00, and clients are not obligated to view such videos if recommended to them as an educational resource by MFT. Other than as described above, Sean W. Mullaney is not involved with outside business activities. In his CPA capacity, Sean W. Mullaney does not have signatory authority over a client's account.
CRS (Client Relationship Summary) - RIA
Click below to view Sean William Mullaney'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
January 16, 2019 - Present
MULLANEY FINANCIAL & TAX, INC.
RIA
CRD#: 299906
Woodland Hills, 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.Highlighted states indicate IAR registrations
IAR
California(1/16/2019)
IAR
Texas(9/20/2019)
Current Firm
MF
MULLANEY FINANCIAL & TAX, INC.
MULLANEY FINANCIAL & TAX, INC.
CRD#: 299906 / SEC#:
California
Registered Investment Advisory firm - (1/16/2019 Approved)Texas
Registered Investment Advisory firm - (9/16/2019 Conditional Restricted)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Woodland Hills, CA
Mailing Address
P.o. Box 785, Woodland Hills, CA 91365
Phone number
(703) 863-5416
Established
Firm type
Fiscal year end
# of Employees
1
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 7/19/2019 |
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.
