John J. Mullins

DAVID LERNER ASSOCIATES

Lawrenceville, NJ 08648

Some features on this profile are disabled

CRD#: 1142238

Professional summary

John Jeremiah Mullins is a registered financial professional currently at DAVID LERNER ASSOCIATES, INC. located in Lawrenceville, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 1986. John has worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Jeremiah Mullins's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 4, 2014 - Present

DAVID LERNER ASSOCIATES, INC.

Office #1: 134 Franklin Corner Road Suite 200, Lawrenceville, NJ 08648

CRD#: 5397

Lawrenceville, NJ

Past

March 7, 2012 - July 10, 2012

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

NEW YORK, NY

Past

August 2, 2010 - February 27, 2012

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

January 3, 2008 - July 15, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

NEW YORK, NY

Past

November 7, 2005 - December 23, 2008

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

NEW YORK, NY

Past

February 4, 2005 - October 17, 2005

NEWOAK CAPITAL MARKETS LLC

CRD#: 104063

NEW YORK, NY

Past

August 8, 2003 - December 10, 2004

BROKERAGEAMERICA, LLC

CRD#: 47966

NEW YORK, NY

Past

October 25, 2002 - August 5, 2003

HAMPTON SECURITIES (USA), INC.

CRD#: 46816

TORONTO, ONTARIO,

Past

July 10, 2002 - October 7, 2002

MKM PARTNERS LLC

CRD#: 114666

STAMFORD, CT

Past

July 27, 1989 - March 12, 2002

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

May 22, 1986 - January 1, 1989

HERZOG, HEINE, GEDULD, LLC

CRD#: 2186

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(10/8/2015)

Georgia
(9/19/2017)

Maryland
(10/24/2023)

New Jersey
(6/5/2014)

New York
(6/9/2014)

North Carolina
(6/18/2021)

Pennsylvania
(3/9/2016)

South Carolina
(5/11/2017)

Texas
(6/9/2016)

Wisconsin
(9/30/2021)

Exams

State Security Law Exam

Series 63

Date: 3/14/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 12/11/1998

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DAVID LERNER ASSOCIATES, INC.

CRD#: 5397 / SEC#: , 8-20746

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006

Mailing Address

477 Jericho Tpke P.o.box 9006, Syosset, NY 11791-9006

Phone number

(516) 921-4200

Established

New York since 11/06/1975

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LERNER, DAVID	SHAREHOLDER	307120
HOLEMAN, ALLEN BERNARD	CHIEF COMPLIANCE OFFICER	1060910
SANTOS, ERIKA VALERIA	FINOP	6218921
WALCOE, MARTIN KEVIN	PRESIDENT	1593935

Disclosures

Regulatory Event	22
Arbitration	19

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.

Similar Advisors

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Fernando Rivera

WELLS FARGO CLEARING SERVICES, LLC

IAR

East Brunswick, NJ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John J. Mullins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Jeremiah Mullins's CRS (Customer Relationship Summary).

Certified licenses

Experience

TEJAS SECURITIES GROUP, INC.

MAXIM GROUP LLC

JESUP & LAMONT SECURITIES CORP

EMPIRE FINANCIAL GROUP, INC.

NEWOAK CAPITAL MARKETS LLC

BROKERAGEAMERICA, LLC

HAMPTON SECURITIES (USA), INC.

MKM PARTNERS LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

HERZOG, HEINE, GEDULD, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/1989

SIE

Date: 10/1/2018

Series 55

Date: 12/11/1998

Series 7

Date: 5/17/1986

Series 24

Date: 4/21/2000

FINRA

Current Firm

DAVID LERNER ASSOCIATES, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DAVID LERNER ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors