David Thomas Mullen
Professional Summary
David Thomas Mullen is a registered financial advisor currently at COLLIERS SECURITIES LLC located in Fort Myers, Florida. David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 50, Series 7, Series 54, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
Contact Information
Main Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108Mailing Address
90 South Seventh Street Suite 3300, Minneapolis, MN 55402-4108Phone Number
(612) 376-4000Established
Delaware since 08/19/1997Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
120SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | — |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory Assets Under Management
Total Number of Accounts
1,055AUM (Assets Under Management)
$329,636,522Disclosures
Regulatory Event
25Arbitration
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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.
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Primary Firm SEC Registration
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
State Registrations and Notice Filings
(1/6/2016)
(1/6/2016)
(1/2/2024)
(6/24/2014)
(1/6/2016)
(1/6/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Oct 2020About the Series 54 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Thomas Mullen's CRS (Customer Relationship Summary).
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