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Detailed Report
BRIAN JOHN MALLON
CRD#: 2227468
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1715 N WESTSHORE BOULEVARD SUITE 260
TAMPA, FL 33607
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1715 N WESTSHORE BOULEVARD
SUITE 260
TAMPA, FL 33607
Registration History
19952000200520102015202020252 FIRMS1992 - 1992 (<1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2021 - Present (3 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2019 - Present (5 years)BFORESTERS FINANCIAL SERVICES, INC. (CRD# 305)2015 - 2019 (3 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2014 - 2015 (<1 year)BFIRST UNION SECURITIES FINANCI... (CRD# 11025)1999 - 2001 (1 year)BNORTHEAST SECURITIES, INC. (CRD# 25996)1996 - 1999 (2 years)BCORPORATE SECURITIES GROUP, INC. (CRD# 11025)1994 - 1996 (1 year)BJOSEPHTHAL LYON & ROSS INCORPO... (CRD# 3227)1992 - 1994 (2 years)
Disclosure(s)
View By:
8/22/2019
Judgment / Lien
1/25/2019
Financial
Final
License(s)

State Registrations

B
Florida 6/20/2019
B
Pennsylvania 6/20/2019
IA
Florida 9/17/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1715 N WESTSHORE BOULEVARD SUITE 260, TAMPA, FL 33607
Registered with this firm since 9/17/2021
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1715 N WESTSHORE BOULEVARD SUITE 260, TAMPA, FL 33607
Registered with this firm since 6/19/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/11/2015 - 06/25/2019 FORESTERS FINANCIAL SERVICES, INC. (CRD#:305) TAMPA, FL
B
 11/05/2014 - 01/29/2015 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) Tampa, FL
B
 04/28/1999 - 02/01/2001 FIRST UNION SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) ST. LOUIS, MO
B
 07/26/1996 - 04/28/1999 NORTHEAST SECURITIES, INC. (CRD#:25996) MITCHELFIELD, NY
B
 09/26/1994 - 08/06/1996 CORPORATE SECURITIES GROUP, INC. (CRD#:11025) ST. LOUIS, MO
B
 06/10/1992 - 10/10/1994 JOSEPHTHAL LYON & ROSS INCORPORATED (CRD#:3227) NEW YORK, NY
B
 04/20/1992 - 06/05/1992 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
B
 04/10/1992 - 04/28/1992 LEW LIEBERBAUM & CO., INC. (CRD#:17341) GARDEN CITY, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.