Carl W. Mullis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carl William Mullis JR was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1982. Carl had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2012 - December 31, 2015
THE O.N. EQUITY SALES COMPANY
September 19, 2001 - February 9, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 18, 2001 - February 9, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 18, 1998 - September 24, 2001
MML INVESTORS SERVICES, LLC
February 5, 1992 - December 16, 1997
HORNOR, TOWNSEND & KENT, LLC
September 15, 1982 - January 31, 1992
MONARCH SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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