John P. Mullen
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.
John Patrick Mullen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2014 - September 17, 2015
ALTACCESS SECURITIES COMPANY, L.P.
September 5, 2011 - January 24, 2014
ALTACCESS SECURITIES COMPANY, L.P.
April 17, 1991 - November 29, 2000
JPMSI
June 23, 1987 - April 10, 1991
GOLDMAN SACHS & CO. LLC
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
Series 8
Date: 10/25/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALTACCESS SECURITIES COMPANY, L.P.
CRD#: 119441 / SEC#: , 8-65183
Contact information
FINRA licenses (53 States and Territories)
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.
