John E. Mullin
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.
John Edward Mullin, who also goes by John Edward Mullin, John Mullin, John Edward Mullin III, John Mullin III, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 31 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
Experience
April 12, 2017 - April 4, 2019
CUTTER & COMPANY, INC.
April 11, 2017 - April 4, 2019
CUTTER & COMPANY, INC.
September 22, 2014 - March 21, 2016
EDWARD JONES
September 19, 2014 - March 21, 2016
EDWARD JONES
July 25, 2013 - February 7, 2014
FIFTH THIRD SECURITIES, INC.
July 23, 2013 - February 7, 2014
FIFTH THIRD SECURITIES, INC.
January 22, 2010 - July 30, 2013
LPL FINANCIAL LLC
January 22, 2010 - July 30, 2013
LPL FINANCIAL LLC
March 9, 2007 - January 27, 2010
CUNA BROKERAGE SERVICES, INC.
March 9, 2007 - January 27, 2010
CUNA BROKERAGE SERVICES, INC.
November 27, 2006 - February 23, 2007
FIFTH THIRD SECURITIES, INC.
November 22, 2006 - February 23, 2007
FIFTH THIRD SECURITIES, INC.
August 10, 2005 - October 13, 2006
A. G. EDWARDS & SONS, INC.
September 23, 1993 - October 18, 1994
MORGAN STANLEY DW 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
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
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.
