Mary Jo 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.
Mary Jo Mullen, who also goes by Mary Catherine Mullen, Mary Joan Mullen, Maryjo Mullen, Maryjoan Mullen, was a registered financial professional .
Mary Jo is a previously registered financial professional and started their career in finance in 1983. Mary Jo had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - April 27, 2020
STONEX SECURITIES INC.
April 15, 2013 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
March 22, 2010 - November 1, 2011
CENTAURUS FINANCIAL, INC.
December 8, 2009 - March 18, 2010
INVESTACORP ADVISORY SERVICES INC
December 3, 2009 - March 18, 2010
INVESTACORP, INC.
December 20, 2000 - December 1, 2009
CENTAURUS FINANCIAL, INC.
March 5, 1996 - December 1, 2009
CENTAURUS FINANCIAL, INC.
February 18, 1994 - March 6, 1996
QUEST CAPITAL STRATEGIES, INC.
September 24, 1993 - February 18, 1994
PIM FINANCIAL SERVICES, INC.
October 22, 1992 - August 28, 1993
MUTUAL SERVICE CORPORATION
November 15, 1988 - October 30, 1992
SENTRA SECURITIES CORPORATION
November 3, 1986 - November 1, 1988
CHRISTOPHER WEIL & COMPANY, INC
May 3, 1983 - November 12, 1986
MORGAN STANLEY DW 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
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
