Brian E. Mcnulty

CETERA INVESTMENT ADVISERS LLC

NEWPORT BEACH, CA 92660

Some features on this profile are disabled

CRD#: 706363

Professional summary

Brian Edmund Mcnulty is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Brian has worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 1 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.

1. BRIAN MCNULTY, SELF-EMPLOYED; INVEST RLTD; NEWPORT BEACH, CA; FIXED INS SALES-FIXED LIFE, DI, HEALTH, LTC; INDP CONTRACTOR; 1/06-PRES; 2-3 HRS/MONTH; ALL DURING TRADING HOURS 2. NAME OF OTHER BUSINESS: TAX & FINANCIAL GROUP; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edmund Mcnulty'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

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4001 Macarthur Blvd Ste 300, Newport Beach, CA 92660

RIA

CRD#: 105644

NEWPORT BEACH, CA

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 4001 Macarthur Blvd. 3rd Floor, Newport Beach, CA 92660

CRD#: 13572

Newport Beach, CA

Past

January 12, 2009 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

NEWPORT BEACH, CA

Past

January 12, 2009 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

NEWPORT BEACH, CA

Past

August 27, 2007 - December 23, 2008

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

THOUSAND OAKS, CA

Past

August 27, 2007 - December 23, 2008

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

THOUSAND OAKS, CA

Past

March 10, 2006 - August 27, 2007

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

WOODLAND HILLS, CA

Past

December 15, 2005 - August 27, 2007

CINCINNATI ANALYSTS, INC.

CRD#: 5478

WOODLAND HILLS, CA

Past

March 24, 2000 - November 17, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

August 26, 1999 - November 17, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

WESTLAKE VILLAGE, CA

Past

June 1, 1998 - November 17, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

February 23, 1989 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

July 15, 1985 - December 6, 1988

CINCINNATI ANALYSTS, INC.

CRD#: 5478

Past

March 25, 1980 - November 1, 1985

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Arizona
(8/10/2023)

California
(8/10/2023)

IAR

California
(8/10/2023)

Florida
(8/11/2023)

Michigan
(8/10/2023)

Nevada
(8/10/2023)

Pennsylvania
(8/10/2023)

Texas
(8/10/2023)

IAR

Texas
(8/10/2023)

Utah
(9/16/2024)

Washington
(8/10/2023)

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

Series 63

Date: 5/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 3/17/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/26/1988

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian E. Mcnulty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Edmund Mcnulty's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CINCINNATI ANALYSTS, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1989

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Series 1

Date: 3/17/1980

Series 24

Date: 2/26/1988

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors