Francis T. 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.
Francis Thomas Mullen was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1984. Francis had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2024 - January 13, 2026
SALIENT CAPITAL L.P.
September 24, 2003 - March 12, 2004
JESUP & LAMONT SECURITIES CORP
August 24, 1999 - October 1, 2001
NATIONAL BANK OF CANADA FINANCIAL INC.
May 7, 1992 - July 27, 1999
ABN AMRO SECURITIES LLC
May 22, 1989 - March 11, 1992
LEHMAN BROTHERS INC.
March 24, 1988 - April 24, 1989
FINANCIAL SQUARE PARTNERS
May 19, 1986 - March 30, 1988
PERSHING LLC
November 7, 1984 - May 28, 1986
LEHMAN BROTHERS INC.
March 1, 1984 - October 29, 1984
UBS 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: 7/19/2024
General Securities Representative ExaminationSeries 8
Date: 4/17/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SALIENT CAPITAL L.P.
CRD#: 147912 / SEC#: , 8-67938
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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