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GM

Gregory V. Mullen

MCAP LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2048657
GM

Professional summary

Gregory Vincent Mullen, who also goes by Greg Mullen, is a registered financial professional currently at MCAP LLC located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 1991. Gregory has worked at 8 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Greg Mullen

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 Gregory Vincent 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

March 12, 2014 - Present

MCAP LLC

Office #1: 100 Park Avenue Suite 2201, New York, NY 10017Office #2: 100 Park Avenue Suite 2201, New York, NY 10017
BD
CRD#: 139515
NEW YORK, NY
Past

June 19, 2015 - August 24, 2016

CG CAPITAL MARKETS, LLC

BD
CRD#: 35513
New York, NY
Past

August 13, 2007 - January 25, 2013

VECTORGLOBAL WMG

BD
CRD#: 32396
MIAMI, FL
Past

April 4, 2005 - March 12, 2007

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

March 8, 2005 - June 29, 2006

SWISS RE CAPITAL MARKETS CORPORATION

BD
CRD#: 39978
NEW YORK, NY
Past

December 9, 1999 - April 20, 2004

THE WILLIAMS CAPITAL GROUP, L.P.

BD
CRD#: 35149
NEW YORK, NY
Past

July 29, 1991 - February 10, 1999

DKB SECURITIES (USA) CORPORATION

BD
CRD#: 28333
Past

March 6, 1991 - July 29, 1991

DKB SECURITIES CORPORATION

BD
CRD#: 24155

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/5/1991
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ML
MCAP LLC
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.

CRD#: 139515 / SEC#: , 8-67217

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

Main Address
100 Park Avenue Suite 2201, New York, NY 10017
Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017
Phone number
(212) 750-1056
Established
Delaware since 11/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MCAP TECHNOLOGIES LLCOWNER
DENNIS, WILLIAM CHOWNINGPRESIDENT4282868
MENN, DAVID ROBERTCHIEF EXECUTIVE OFFICER2283670
MULLEN, GREGORY VINCENTCHIEF FINANCIAL OFFICER & FINOP2048657
PATTI, LEONARD WILLIAMCHIEF COMPLIANCE OFFICER4276315

Disclosures

Regulatory Event2

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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Company Information

MCAP LLC

CRD#: 139515New York, NY 10017

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