Robert J. Mullett
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.
Robert Jay Mullett, CFP®, who also goes by Bob Mullett, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22, 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
Start date: 1988
Experience
January 15, 2015 - May 11, 2016
EQUITY SERVICES, INC.
October 12, 2010 - August 31, 2012
MMC SECURITIES LLC
June 17, 2010 - November 3, 2010
INTERLINK SECURITIES CORP.
June 6, 2006 - February 9, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 10, 2005 - June 7, 2006
OSAIC FS, INC.
August 30, 1999 - July 23, 2004
EQUITABLE DISTRIBUTORS, LLC
April 28, 1993 - June 1, 2000
1717 CAPITAL MANAGEMENT COMPANY
January 22, 1992 - April 28, 1993
IDS LIFE INSURANCE COMPANY
January 8, 1992 - April 28, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 1991 - January 24, 1992
LEHMAN BROTHERS INC.
November 30, 1988 - May 21, 1991
IDS LIFE INSURANCE COMPANY
October 16, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
October 6, 1983 - May 21, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
