Timothy O. Mcmullan
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.
Timothy Owen Mcmullan was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1986. Timothy had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2011 - November 22, 2011
LEIGH BALDWIN & CO., LLC
August 5, 2009 - April 30, 2026
TJT CAPITAL GROUP, LLC
July 31, 2008 - July 7, 2009
ASSETMARK, INC.
October 23, 2007 - July 7, 2009
CAPITAL BROKERAGE CORPORATION
April 17, 2006 - April 17, 2006
CETERA INVESTMENT ADVISERS LLC
April 17, 2006 - October 23, 2007
CETERA FINANCIAL SPECIALISTS LLC
June 20, 2005 - July 31, 2008
GENWORTH FINANCIAL ASSET MANAGEMENT, INC
January 2, 2002 - August 13, 2004
LEIGH BALDWIN & CO., LLC
January 14, 2000 - December 14, 2001
SCHONFELD SECURITIES, LLC
February 5, 1997 - January 19, 2000
LEIGH BALDWIN & CO., LLC
March 14, 1994 - January 21, 1997
UBS FINANCIAL SERVICES INC.
April 23, 1986 - March 24, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
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: 1/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
LEIGH BALDWIN & CO., LLC
CRD#: 38751 / SEC#: 801-69290, 8-48385
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 756 |
| AUM (Assets Under Management) | $ 285,522,208 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 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.
