Margaret 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.
Margaret Mullen, who also goes by Margie Mullen, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1986. Margaret had worked at 2 firms and has passed the Series 2 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - December 31, 2018
DBA, MULLEN ADVISORY
May 23, 1986 - November 14, 1991
CETERA WEALTH SERVICES, LLC
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 2
Date: 9/21/1995
Non-Member General Securities ExaminationCurrent Firm
DBA, MULLEN ADVISORY
CRD#: 109646 / SEC#: 801-58110
Contact information
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.
