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DM

David M. Mullane

Some features on this profile are disabled
CRD#: 2038952
DM

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.

David Michael Mullane was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1990. David had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3, Series 22 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 17, 2015 - September 15, 2025

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
NEW YORK, NY
Past

March 2, 2015 - August 17, 2015

GALLATIN CAPITAL LLC

BD
CRD#: 124738
NEW YORK, NY
Past

October 2, 2007 - March 15, 2013

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
NEW YORK, NY
Past

October 2, 2007 - March 15, 2013

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

October 24, 2005 - October 2, 2007

QUELLOS FUND SERVICES, LLC

BD
CRD#: 137247
NEW YORK, NY
Past

July 14, 2005 - October 2, 2007

QUELLOS PRIVATE CAPITAL MARKETS, L.P.

RIA
CRD#: 135935
NEW YORK, NY
Past

December 20, 2002 - March 15, 2004

QUELLOS FIXED INCOME ADVISORS LLC

RIA
CRD#: 108912
NEW YORK, NY
Past

December 20, 2002 - October 2, 2007

QUELLOS CAPITAL MANAGEMENT LP

RIA
CRD#: 106683
NEW YORK, NY
Past

November 26, 2002 - October 24, 2005

CFT SECURITIES, LLC

BD
CRD#: 46226
PRINCETON, NJ
Past

March 4, 1998 - March 24, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 24, 1996 - February 19, 1998

BENEDETTO, GARTLAND & COMPANY, INC.

BD
CRD#: 24083
NEW YORK, NY
Past

November 15, 1993 - April 9, 1996

FORTIS CAPITAL INVESTMENTS INC.

BD
CRD#: 15006
NEW YORK, NY
Past

November 6, 1990 - November 15, 1993

MEESPIERSON INVESTMENT FINANCE (U.S.) INC.

BD
CRD#: 26106

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2002
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/16/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 8/23/2002
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 22
Date: 11/5/1990
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/2009
General Securities Principal Examination

Current Firm

BP
BROOKFIELD PRIVATE ADVISORS LLC
BROOKFIELD FINANCIAL | GLOBAL CLIENT GROUP | BROOKFIELD PRIVATE ADVISORS LLC | BROOKFIELD FINANCIAL US, LLC

CRD#: 151423 / SEC#: , 8-68370

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

Main Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Mailing Address
Brookfield Place 250 Vesey Street 15th Floor, New York, NY, 10281-1021
Phone number
(212) 417-7000
Established
Delaware since 07/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKFIELD US INC.MEMBER
BECK, RAFAELCFO & FINANCIAL OPERATIONS PRINCIPAL5718571
LEVI, DAVID WILLIAMCEO AND DIRECTOR2387908
SELIG, PHILIP SCOTTCHIEF COMPLIANCE OFFICER4593048
SRULOWITZ, MARKDIRECTOR6555246

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.

Company Information

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423

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