Terrence J. 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.
Terrence James Mullen, who also goes by Terrance James Mullen, Terry James Mullen, was a registered financial professional .
Terrence is a previously registered financial professional and started their career in finance in 1987. Terrence had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2015 - June 10, 2015
CCO CAPITAL, LLC
December 16, 2008 - June 3, 2013
CLARENDON INSURANCE AGENCY, INC.
October 20, 2008 - June 27, 2014
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 11, 2007 - October 12, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 17, 2003 - September 30, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 15, 1997 - May 19, 2003
COREBRIDGE CAPITAL SERVICES, INC.
September 3, 1996 - July 15, 1997
SUNAMERICA SECURITIES, INC.
July 21, 1994 - July 10, 1996
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 15, 1992 - March 31, 1994
MORGAN STANLEY DW INC.
May 31, 1991 - June 29, 1992
KEYPORT FINANCIAL SERVICES CORP.
July 15, 1987 - April 2, 1991
GLOBAL ATLANTIC DISTRIBUTORS, 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
Current Firm
CCO CAPITAL, LLC
CRD#: 31147 / SEC#: , 8-45375
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CCO CAPITAL HOLDINGS, LLC | OWNER | |
| BECERRIL, CRYSTAL L | FINOP | 7037197 |
| BECERRIL, CRYSTAL L | PRINCIPAL OPERATIONS OFFICER | 7037197 |
| BECERRIL, CRYSTAL L | PRINCIPAL FINANCIAL OFFICER | 7037197 |
| DEMBO, JORDAN | SECRETARY | 7408267 |
| SOMERS, AARON GEORGE | DEPUTY CHIEF COMPLIANCE OFFICER | 3145910 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER | 4612910 |
| VANDE KROL, EMILY L | PRESIDENT | 5595099 |
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.
