Thomas F. Mullaney

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CRD#: 1435044

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 Francis Mullaney JR, who also goes by Tom Mullaney Jr, Tom Mullaney, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 3 firms and has passed the Series 63, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Mullaney Jr | Tom Mullaney

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 9, 1999 - September 4, 2024

MULLANEY KEATING & WRIGHT INC

RIA

CRD#: 110743

WEST HARTFORD, CT

Past

June 7, 1994 - December 31, 1995

MULLANEY & ASSOCIATES, INC.

CRD#: 35973

Past

March 6, 1986 - May 21, 1993

SHAWMUT BROKERAGE, INC.

CRD#: 17081

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MULLANEY KEATING & WRIGHT INC

CRD#: 110743 / SEC#: 801-47490

RIA

Registered Investment Advisory firm - (9/21/1994 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 2/28/1994

Uniform Securities Agent State Law Examination

Principal/Supervisory Exam

Series 27

Date: 2/28/1994

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/13/1986

General Securities Principal Examination

Current Firm

MULLANEY KEATING & WRIGHT INC

CRD#: 110743 / SEC#: 801-47490

RIA

Registered Investment Advisory firm - (9/21/1994 Approved)

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Contact information

Main Address

29 South Main Street Suite 212, West Hartford, CT 06107

Mailing Address

Phone number

(860) 521-9900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A: FIRM BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts	504
AUM (Assets Under Management)	$ 336,991,438

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas F. Mullaney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MULLANEY KEATING & WRIGHT INC

MULLANEY & ASSOCIATES, INC.

SHAWMUT BROKERAGE, INC.

Primary Firm SEC Registration

MULLANEY KEATING & WRIGHT INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/1994

Series 27

Date: 2/28/1994

Series 24

Date: 1/13/1986

Current Firm

MULLANEY KEATING & WRIGHT INC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MULLANEY KEATING & WRIGHT INC

TRUST BUT VERIFY

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