JM
James P. Mullen
CORECAP INVESTMENTS
Livonia, MI 48152
Some features on this profile are disabled
CRD#: 2073683
JM
Professional summary
James Patrick Mullen is a registered financial professional currently at CORECAP INVESTMENTS, LLC located in Livonia, Michigan.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 6 firms and has passed the Series 63, SIE and Series 6 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 James Patrick 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®
NoneExperience
Current
November 26, 2014 - Present
CORECAP INVESTMENTS, LLC
Office #1: 39111 Six Mile Road, Livonia, MI 48152BD
CRD#: 37068
Livonia, MI
Past
August 21, 2012 - January 2, 2015
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
January 21, 2008 - July 12, 2012
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
TAYLOR, MI
Past
October 15, 2007 - December 14, 2007
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
MONACA, PA
Past
October 18, 2005 - October 8, 2007
FORTUNE FINANCIAL SERVICES, INC.
BD
CRD#: 42150
NEW BRIGHTON, PA
Past
March 30, 2000 - December 31, 2003
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
July 13, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
July 13, 1990 - February 15, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Indiana(5/7/2025)
RR
Michigan(11/26/2014)
RR
South Carolina(10/8/2021)
RR
Wisconsin(3/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CORECAP INVESTMENTS, LLC
ADVANTAGE BENEFITS AND RETIREMENT | WINGARD FINANCIAL GROUP | WINDSOR, SHEFFIELD & CO., INC. | WINDSOR SHEFFIELD & CO., INC. | TLC INSURANCE | TALLOU FINANCIAL SERVICES | STRANG ASSOCIATES | STIVERS FINANCIAL | SPARTAN FINANCIAL GROUP | SOLOMON FINANCIAL | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIMASKO FINANCIAL | RUCKER FINANCIAL GROUP | RONNIE BROUSSARD & ASSOCIATES | ROMAIN FINANCIAL | PHARR FINANCIAL GROUP | PETTIFORD FINANCIAL & WEALTH MANAGEMENT | PATHWAY FINANCIAL GROUP | NJ RETIREMENT PLANNING, LLC | MICHAEL T GROVES FINANCIAL | MANNOR FINANCIAL GROUP | LOVELESS FINANCIAL GROUP, LLC | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | JOHN NELSON FINANCIAL | HAROLD THOMAS FINANCIAL GROUP, LLC | GILLIKIN & ASSOCIATES | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | EVERLAST FINANCIAL GROUP | ESPERO & PARTNERS | DWORETSKY FINANCIAL | CREATIVE FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL | CORECAP INVESTMENTS, LLC | CORECAP INVESTMENTS, INC. | COOPER, ADEL, VU FINANCIAL | CONNERS WEALTH MANAGEMENT | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | BELLFLOWER FINANCIAL GROUP, LLC | AZOURY & ASSOCIATES | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP
CRD#: 37068 / SEC#: , 8-47783
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Mailing Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Phone number
(888) 296-3360
Established
Delaware since 04/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| 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.
