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John Damian Park Mullin

Cetera Investment Advisers LLC

Winston-Salem, NC

CRD 4544945

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Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-08-09
  • NC RA
    APPROVED
    Since 2018-08-09

Branch Locations

161 S Stratford Road, Winston-Salem, NC 27104 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
First National Bank Of Pa Winston-Salem MD 04/2016 Present
Cetera Investment Services Llc St.CLoud MN 04/2016 Present
Cetera Investment Advisors Winston-Salem MD 04/2016 Present
  • 04/2016 → Present
    First National Bank Of Pa
    Winston-Salem, MD
  • 04/2016 → Present
    Cetera Investment Services Llc
    St.CLoud, MN
  • 04/2016 → Present
    Cetera Investment Advisors
    Winston-Salem, MD
Previous Registrations
  • 2009-01-13 → 2016-05-19
    M&T Securities, Inc.
    Bel Air, MD
    Annapolis, MD
    Baltimore, MD
    Bel Air, MD
    Abington, MD
    Bel Air, MD
    Nottingham, MD
    Baltimore, MD
    Timonium, MD
    Bel Air, MD
    Abingdon, MD
    Bel Air, MD
    Timonium, MD
  • 2008-08-22 → 2008-12-23
    Hunt Valley, MD
    Sparks, MD
    Cockeysville, MD
    Parkton, MD
    Phoenix, MD
    Timonium, MD
    Parkton, MD
    Baltimore, MD
    Springfield, VA
Other Businesses

1) FIXED LIFE INSURANCE SALES OUTSIDE OF CETERA 2) RENTAL PROPERTY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-21
S63 Uniform Securities Agent State Law Examination 2003-11-13
  • S65 Uniform Investment Adviser Law Examination
    2008-08-21
  • S63 Uniform Securities Agent State Law Examination
    2003-11-13
Other Names
  • John Damian Surgheon Mullin
  • John Damian Mullin

View on SEC IAPD

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