Timothy Mullins
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 Mullins, who also goes by Tim Mullins, Timothy Paul Mullins, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1986. Timothy had worked at 12 firms and has passed the Series 63, SIE, 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
January 24, 2013 - April 28, 2016
WELLS FARGO PRIME SERVICES, LLC
August 24, 2009 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 24, 2009 - May 27, 2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
July 1, 2003 - April 28, 2016
WELLS FARGO SECURITIES, LLC
April 29, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 19, 1999 - April 30, 2002
HSBC SECURITIES (USA) INC.
November 2, 1994 - April 14, 1999
J.P. MORGAN SECURITIES LLC
October 11, 1992 - September 30, 1994
CREDIT SUISSE SECURITIES (USA) LLC
September 25, 1992 - October 23, 1992
NATIONAL PLANNING CORPORATION
February 14, 1990 - September 13, 1990
NORTHSTAR DISTRIBUTORS, INC.
January 20, 1987 - November 15, 1989
BROUNOFF, CLAIRE & CO., INC.
November 18, 1986 - November 19, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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: 6/22/2006
Limited Representative-Equity Trader ExamCurrent Firm
WELLS FARGO PRIME SERVICES, LLC
CRD#: 133068 / SEC#: , 8-66677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
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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