Thomas P. Mullooly

MULLOOLY ASSET MANAGEMENT

Wall Township, NJ 07719

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CRD#: 1198938

Professional summary

Thomas Peter Mullooly, CFP® is a registered financial advisor currently at MULLOOLY ASSET MANAGEMENT, INC. located in Wall Township, New Jersey.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Thomas Peter Mullooly'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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

January 6, 2003 - Present

MULLOOLY ASSET MANAGEMENT, INC.

Office #1: 1971 State Route 34 Suite 102, Wall Township, NJ 07719

RIA

CRD#: 121184

Wall Township, NJ

Past

June 12, 2002 - November 8, 2002

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

TOMS RIVER, NJ

Past

August 10, 1992 - November 8, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 30, 1990 - August 25, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 23, 1989 - April 19, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

May 21, 1986 - June 5, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MULLOOLY ASSET MANAGEMENT, INC.

MULLOOLY ASSET MANAGEMENT, INC. | MULLOOLY ASSET MANAGEMENT, LLC

CRD#: 121184 / SEC#: 801-96189

RIA

Registered Investment Advisory firm - (5/4/2015 Approved)

Illinois

Registered Investment Advisory firm - (12/5/2006 Terminated)

New Jersey

Registered Investment Advisory firm - (5/27/2015 Terminated)

New York

Registered Investment Advisory firm - (5/13/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/6/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/15/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 6/18/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

MULLOOLY ASSET MANAGEMENT, INC.

MULLOOLY ASSET MANAGEMENT, INC. | MULLOOLY ASSET MANAGEMENT, LLC

CRD#: 121184 / SEC#: 801-96189

RIA

Registered Investment Advisory firm - (5/4/2015 Approved)

Illinois

Registered Investment Advisory firm - (12/5/2006 Terminated)

New Jersey

Registered Investment Advisory firm - (5/27/2015 Terminated)

New York

Registered Investment Advisory firm - (5/13/2015 Terminated)

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Contact information

Main Address

1971 State Route 34 Suite 102, Wall Township, NJ 07719

Mailing Address

Phone number

(732) 223-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MULLOOLY ASSET MANAGEMENT ADV BROCHURE (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1,376
AUM (Assets Under Management)	$ 395,721,879

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.

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Thomas P. Mullooly

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Peter Mullooly's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

MULLOOLY ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/2002

Series 63

Date: 5/28/1986

Series 3

Date: 11/15/1994

Series 7

Date: 5/17/1986

Series 8

Date: 6/18/1997

Current Firm

MULLOOLY ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MULLOOLY ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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