Caroline Twiname Mahoney

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2017 → 07/2017
  Northwestern Mutual
  Columbia, SC
• 08/2014 → 05/2018
  Wofford College
  Spartanburg, SC
• 05/2018 → 11/2024
  New York Life Insurance Co.
  Charleston, SC
• 07/2018 → 11/2024
  Nylife Securities Llc
  Charleston, SC
• 12/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 12/2024 → Present
  Commonwealth Financial Group
  Daniel Island, SC
• 01/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1. NAME OF OTHER BUSINESS: CM FINANCIAL GROUP, LLC; INVESTMENT RELATED: NO; ADDRESS: CHARLESTON, SC 29403; NATURE OF BUSINESS: TAX PURPOSES; START DATE: 08/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: THIS WILL ONLY BE LEFT OPEN THROUGH THE END OF THE YEAR FOR TAX PURPOSES. IT WILL NOT BE USED ACTIVELY; 2. NAME OF OTHER BUSINESS: COMMONWEALTH FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH FINANCIAL PLANS FOR CLIENTS;

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-01-13
• S63 Uniform Securities Agent State Law Examination
  2019-09-13

Other Names

• Caroline Twiname Mahoney