Diana L. 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.
Diana Lee Mullen was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1985. Diana had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 7 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
May 3, 2002 - June 19, 2012
VP DISTRIBUTORS LLC
March 14, 2001 - May 7, 2001
WELLS FARGO SECURITIES INC.
March 13, 2001 - February 21, 2002
WELLS FARGO INVESTMENTS, LLC
March 20, 1985 - December 31, 2000
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 5/23/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VP DISTRIBUTORS LLC
CRD#: 3036 / SEC#: , 8-14100
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTUS PARTNERS, INC | SOLE MEMBER | |
| BACHRACH, IAN | SENIOR MANAGING DIRECTOR, MARKETING | 2797509 |
| BICKS, MICHAEL WAYNE | MANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE | 5450963 |
| DANOS, CHRISTOPHER ROBERT | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2716625 |
| FRANCO, THOMAS RICHARD | SENIOR MANAGING DIRECTOR, RETAIL SALES | 2651546 |
| GRISWOLD, HEIDI CHRISTINE | VICE PRESIDENT, FUND SERVICES | 2304631 |
| HANLEY, DAVID GEORGE JR | SENIOR VICE PRESIDENT AND TREASURER | 5455435 |
| KATZ, DAVID JAY | SENIOR MANAGING DIRECTOR, INSTITUTIONAL | 2813039 |
| MACCONE, JOSEPH EDMUND | SENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION | 4273677 |
| MANDINACH, BARRY MITCHELL | EXECUTIVE VICE PRESIDENT | 1234185 |
| MAROSITS, TIFFANY PAIGE | VICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY | 6507868 |
| PERLMAN, DIANA MARIE | CHIEF COMPLIANCE OFFICER | 2555302 |
| PURKALITIS, ANDRA CYNTHIA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 3070864 |
Disclosures
| Regulatory Event | 1 |
| Bond | 3 |
Red Flags
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