SM
Stephen T. Mullin
FHN FINANCIAL SECURITIES
Radnor, PA 19087
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CRD#: 1774698
SM
Professional summary
Stephen Thomas Mullin is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Radnor, Pennsylvania.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1987. Stephen has worked at 5 firms and has passed the Series 63, Series 72, Series 52TO, SIE, Series 7, Series 53, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Thomas Mullin'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®
NoneExperience
Current
January 7, 2005 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: Two Radnor Corporate Center 100 Matsonford Road, Suite 120, Radnor, PA 19087BD
CRD#: 46346
Radnor, PA
Past
October 11, 1992 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
April 29, 1991 - October 2, 1992
SANWA UNIVERSAL SECURITIES CO., LLC
BD
CRD#: 8427
NEW YORK, NY
Past
July 23, 1990 - October 2, 1992
SANWA SECURITIES (USA) CO., L.P.
BD
CRD#: 19697
NEW YORK, NY
Past
November 25, 1987 - July 3, 1990
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
BOSTON, MA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
California(1/7/2005)
RR
Colorado(3/19/2024)
RR
Connecticut(3/19/2024)
RR
Delaware(1/7/2005)
RR
District of Columbia(3/21/2024)
RR
Florida(4/23/2024)
RR
Illinois(1/30/2020)
RR
Indiana(1/30/2020)
RR
Maryland(1/7/2005)
RR
Massachusetts(8/24/2009)
RR
Michigan(1/7/2005)
RR
Missouri(2/20/2014)
RR
Montana(9/6/2013)
RR
New Jersey(9/6/2022)
RR
New Mexico(7/25/2017)
RR
New York(2/25/2021)
RR
North Carolina(5/7/2019)
RR
Ohio(9/30/2009)
RR
Oregon(1/7/2005)
RR
Pennsylvania(1/7/2005)
RR
Tennessee(4/27/2021)
RR
Texas(3/19/2024)
RR
Utah(7/21/2020)
RR
Washington(2/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FHN FINANCIAL SECURITIES CORP.
FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Mailing Address
1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120
Phone number
(901) 435-8080
Established
Tennessee since 10/30/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 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.
