Eric R. Mcmullen
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.
Eric Robert Mcmullen, CFP®, who also goes by Eric R Mcmullen, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1992. Eric had worked at 16 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
November 3, 2023 - January 19, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 2022 - November 3, 2023
COMERICA SECURITIES
April 3, 2015 - May 26, 2017
CANTER WEALTH
October 22, 2012 - December 12, 2012
LPL FINANCIAL LLC
October 19, 2012 - December 12, 2012
LPL FINANCIAL LLC
March 30, 2011 - September 15, 2011
ONEAMERICA SECURITIES, INC.
March 25, 2011 - September 15, 2011
ONEAMERICA SECURITIES, INC.
April 22, 2005 - April 8, 2009
ONEAMERICA SECURITIES, INC.
April 2, 2004 - April 8, 2009
ONEAMERICA SECURITIES, INC.
October 19, 2001 - April 5, 2004
METROPOLITAN LIFE INSURANCE COMPANY
October 19, 2001 - April 5, 2004
MSI FINANCIAL SERVICES, INC.
August 1, 2001 - November 12, 2001
IRON CAPITAL MARKETS, INC.
September 8, 1999 - October 2, 2001
STIFEL INDEPENDENT ADVISORS, LLC
July 26, 1999 - August 1, 1999
GENEVA SECURITIES,INC.
July 20, 1999 - July 30, 1999
LPL FINANCIAL LLC
January 29, 1998 - June 30, 1999
BESTVEST INVESTMENTS, LTD.
January 22, 1998 - July 19, 1999
ARCHER ALEXANDER SECURITIES CORPORATION
December 9, 1996 - August 27, 1997
ARCHER ALEXANDER SECURITIES CORPORATION
July 10, 1996 - November 5, 1996
PROFESSIONAL ASSET MANAGEMENT, INC.
July 25, 1994 - July 11, 1996
HARRIS INVESTORS DIRECT, INC.
February 22, 1994 - July 26, 1994
HARRIS INVESTORLINE
December 21, 1992 - March 2, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Series 7TO
Date: 3/9/2022
General Securities Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
