William B. 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.
William Bruce Mullen was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 6 firms and has passed the Series 7A and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2013 - December 31, 2013
BENJAMIN & JEROLD BROKERAGE I, LLC
October 21, 2009 - May 31, 2013
DIRECT ACCESS PARTNERS LLC
April 2, 2009 - October 20, 2009
TAG SECURITIES CORP.
October 12, 2006 - October 19, 2009
LEK SECURITIES CORPORATION
January 25, 2005 - March 30, 2006
TD PRIME SERVICES LLC
August 11, 2004 - September 23, 2004
TD PRIME SERVICES LLC
October 24, 2003 - January 3, 2005
LEK SECURITIES CORPORATION
October 1, 2000 - April 16, 2009
LL PARTNERS, 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 7A
Date: 8/27/2003
Floor Broker Representative ExamSeries 25
Date: 9/23/1999
NYSE Trading Assistant ExaminationCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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