Matthew H. Mulhern
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.
Matthew H Mulhern was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1992. Matthew had worked at 8 firms and has passed the Series 63, SIE, Series 7 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
November 8, 2013 - June 23, 2015
OAK TREE SECURITIES, INC.
April 18, 2007 - January 3, 2012
ICON DISTRIBUTORS, INC.
April 21, 2006 - April 4, 2007
PROVASI CAPITAL PARTNERS LP
March 22, 2005 - March 7, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
May 30, 2000 - April 2, 2005
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 6, 1999 - May 31, 2000
NYLIFE DISTRIBUTORS LLC
January 19, 1993 - October 6, 1998
BNY MELLON SECURITIES CORPORATION
June 24, 1992 - July 21, 1992
CHATFIELD DEAN & CO., INC.
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
OAK TREE SECURITIES, INC.
CRD#: 18126 / SEC#: 801-39201, 8-36138
Contact information
FINRA licenses (19 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 3,689,200 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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