Kathleen M. Mullen

NABSECURITIES

New York, NY 10172

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CRD#: 1504787

Professional summary

Kathleen Mary Mullen, who also goes by Kathleen M Collins, Kathleen Mary Collins, is a registered financial professional currently at NABSECURITIES, LLC located in New York, New York.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1986. Kathleen has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathleen M Collins | Kathleen Mary Collins

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) - BD

Click below to view Kathleen Mary Mullen's CRS (Customer Relationship Summary).

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

Current

May 2, 2012 - Present

NABSECURITIES, LLC

Office #1: 277 Park Avenue 19th Floor, New York, NY, 10172Office #2: 277 Park Avenue 19th Floor, New York, NY 10172

CRD#: 47390

New York, NY

Past

January 12, 2006 - December 5, 2011

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

April 1, 1998 - December 31, 2005

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

November 22, 1991 - April 6, 1998

EASTBRIDGE CAPITAL INC.

CRD#: 23858

NEW YORK, NY

Past

February 15, 1989 - July 27, 1990

MIDLAND MONTAGU SECURITIES INC.

CRD#: 18166

Past

July 23, 1986 - December 12, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(6/13/2024)

New York
(5/2/2012)

Exams

State Security Law Exam

Series 63

Date: 9/9/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NABSECURITIES, LLC

NABCAPITAL SECURITIES LLC | NATIONAL AUSTRALIA CAPITAL MARKETS, LLC | NABSECURITIES, LLC

CRD#: 47390 / SEC#: , 8-51785

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

277 Park Avenue 19th Floor, New York, NY, 10172

Mailing Address

277 Park Avenue 19th Floor, New York, NY, 10172

Phone number

(212) 916-9500

Established

Delaware since 09/05/1998

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NATIONAL AUSTRALIA BANK LIMITED	OWNER
ALLAN-SMITH, JOHN NEVILLE	DIRECTOR / CHAIRMAN OF THE BOARD	8027334
KIRSCHENBLAT, CHAD ETHAN	FINOP & PFO	2503352
LESTER, MEREDITH	DIRECTOR	7426691
LYUBOMIRSKAYA, SVETLANA	DIRECTOR	2793040
MASCARENHAS, CARLA JANE	DIRECTOR	6313662
SCHILLING, MICHAEL JAMES	CHIEF COMPLIANCE OFFICER	2609624
TAIANO, RICHARD LOUIS	PRESIDENT / CEO / DIRECTOR	3037875

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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Kathleen M. Mullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathleen Mary Mullen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NABSECURITIES, LLC

MF GLOBAL INC.

REFCO SECURITIES, LLC

EASTBRIDGE CAPITAL INC.

MIDLAND MONTAGU SECURITIES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/1986

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1986

FINRA

Current Firm

NABSECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

NABSECURITIES, LLC

TRUST BUT VERIFY

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