Peter D. Mullen

COBALT CAPITAL

LAKE MARY, FL 32746

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CRD#: 2259675

Professional summary

Peter Devine Mullen is a registered financial professional currently at COBALT CAPITAL, INC. located in Lake Mary, Florida.

Peter is registered as a RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Peter Devine Mullen's CRS (Customer Relationship Summary).

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

September 16, 2022 - Present

COBALT CAPITAL, INC.

Office #1: 801 International Parkway Suite 500 Pmb #5242, Lake Mary, FL 32746

CRD#: 136161

LAKE MARY, FL

Past

June 4, 2020 - June 1, 2021

LOCORR DISTRIBUTORS, LLC

CRD#: 41782

EXCELSIOR, MN

Past

February 11, 2020 - May 12, 2020

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

September 22, 2015 - February 16, 2018

LICCAR SECURITIES, LLC

CRD#: 151034

CHICAGO, IL

Past

April 21, 2010 - September 16, 2015

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

JUPITER, FL

Past

April 21, 2010 - September 16, 2015

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 25, 2008 - March 30, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

STAMFORD, CT

Past

September 25, 2008 - March 30, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

STAMFORD, CT

Past

September 22, 2008 - October 8, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

February 14, 2008 - October 2, 2008

LEHMAN BROTHERS INC.

RIA

CRD#: 7506

NEW YORK, NY

Past

March 28, 2005 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

May 15, 2001 - March 29, 2005

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

January 21, 2000 - April 20, 2001

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

July 23, 1999 - January 28, 2000

JPMSI

CRD#: 15733

NEW YORK, NY

Past

June 12, 1997 - July 27, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

October 19, 1995 - June 24, 1997

FLEET ENTERPRISES, INC.

CRD#: 17434

NEW YORK, NY

Past

December 1, 1992 - March 24, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

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

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

Arizona
(5/22/2024)

California
(5/9/2024)

Colorado
(5/8/2024)

Connecticut
(9/19/2022)

Delaware
(9/20/2022)

District of Columbia
(1/17/2023)

Florida
(9/19/2022)

Georgia
(9/21/2022)

Hawaii
(3/19/2025)

Idaho
(5/8/2024)

Illinois
(5/16/2024)

Maine
(3/23/2023)

Maryland
(9/20/2022)

Massachusetts
(9/19/2022)

Michigan
(5/10/2024)

Minnesota
(5/8/2024)

Mississippi
(5/9/2024)

Missouri
(5/10/2024)

Nevada
(5/8/2024)

New Hampshire
(3/23/2023)

New Jersey
(9/20/2022)

New York
(9/22/2022)

North Carolina
(9/20/2022)

Ohio
(5/8/2024)

Oklahoma
(5/8/2024)

Oregon
(5/10/2024)

Pennsylvania
(10/4/2022)

Rhode Island
(3/29/2023)

South Carolina
(9/21/2022)

Tennessee
(5/9/2024)

Texas
(5/9/2024)

Utah
(5/9/2024)

Vermont
(3/23/2023)

Virginia
(9/20/2022)

West Virginia
(3/23/2023)

Wisconsin
(5/9/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/25/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/8/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/30/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 8/5/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/4/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

COBALT CAPITAL, INC.

CRD#: 136161 / SEC#: , 8-66979

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

801 International Parkway Suite 500 Pmb #5242, Lake Mary, FL 32746

Mailing Address

801 International Parkway Suite 500 Pmb #5242, Lake Mary, FL 32746

Phone number

(407) 649-3150

Established

Florida since 03/18/2005

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SCHICK, BENJAMIN MELVIN	PRINCIPAL, PRESIDENT, CEO	4897243
MEGENITY, BRIAN MCDONALD	CHIEF COMPLIANCE OFFICER	2889637
OHAB, PAMELA CATHY	FINOP	2700308

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Peter D. Mullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Peter Devine Mullen's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOCORR DISTRIBUTORS, LLC

FFEC WEALTH PARTNERS LLC

LICCAR SECURITIES, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES INC.

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

JPMSI

CITICORP INVESTMENT SERVICES

FLEET ENTERPRISES, INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/25/2000

Series 63

Date: 12/14/1992

SIE

Date: 2/16/2018

Series 3

Date: 5/8/2006

Series 7

Date: 11/30/1992

Series 4

Date: 8/5/1996

Series 24

Date: 1/4/1996

FINRA

Current Firm

COBALT CAPITAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

COBALT CAPITAL, INC.

TRUST BUT VERIFY

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