Thomas M. 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.
Thomas Michael Mullen SR, who also goes by Thomas Michael Mullen, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - February 25, 2015
W.J. BLUM & SONS, LLC
May 24, 2006 - July 12, 2011
OTR GLOBAL TRADING LLC
October 8, 1990 - December 31, 2008
OTA LLC
February 25, 1985 - October 8, 1990
OCWEN TRADING, 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 55
Date: 10/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
W.J. BLUM & SONS, LLC
CRD#: 32970 / SEC#: , 8-18966
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLUM, WILLIAM JOHN | MANAGING MEMBER, CO-CCO | |
| CASEY, PATRICK MICHAEL | CO - CCO | 2097151 |
Disclosures
| Regulatory Event | 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.
