Geoffrey G. 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.
Geoffrey Grant Mullen was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1983. Geoffrey had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2021 - February 22, 2024
ARES MANAGEMENT CAPITAL MARKETS LLC
October 11, 2011 - January 2, 2014
MORGAN STANLEY DISTRIBUTION, INC.
January 10, 2008 - April 6, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
August 4, 1983 - October 28, 1983
FORESTERS FINANCIAL SERVICES, 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
Series 7TO
Date: 10/7/2021
General Securities Representative ExaminationCurrent Firm
ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
Contact information
FINRA licenses (51 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.
