Thomas F. Mullarkey

HIVE RETIREMENT PLANNING

New York, NY

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CRD#: 2394342

Professional summary

Thomas Francis X Mullarkey JR is a registered financial advisor currently at HIVE RETIREMENT PLANNING located in New York, New York and SHELTER ROCK CAPITAL GROUP LLC located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Thomas Mullarkey Jr is a Senior Advisor with Shelter Rock Capital Group LLC, a separate and unaffiliated entity. This activity accounts for approximately 10% of his time during trading hours. As a Senior Advisor, Thomas Mullarkey Jr provides advisory services to clients of Shelter Rock Capital Group LLC. These services are separate from services provided to clients of HIVE. Thomas Mullarkey Jr does not solicit clients of HIVE to his outside business activity and shall only represent the interest of HIVE while interacting with HIVE's clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis X Mullarkey JR'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®

None

Experience

Current

January 8, 2024 - Present

HIVE RETIREMENT PLANNING

RIA

CRD#: 328713

New York, NY

Current

November 2, 2018 - Present

SHELTER ROCK CAPITAL GROUP LLC

Office #1: 10 East 53rd, Suite 1200, New York, NY 10022

CRD#: 156753

New York, NY

Past

November 3, 2000 - October 9, 2017

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

October 16, 2000 - December 31, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

November 2, 1993 - October 16, 2000

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New York
(11/2/2018)

IAR

New York
(1/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/9/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/9/1993

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/1/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HIVE RETIREMENT PLANNING

HIVE RETIREMENT PLANNING | HIVE RETIREMENT PLANNING LLC

CRD#: 328713 / SEC#:

New York

Registered Investment Advisory firm - (1/8/2024 Approved)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(917) 451-1560

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Thomas F. Mullarkey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Francis X Mullarkey JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIVE RETIREMENT PLANNING

SHELTER ROCK CAPITAL GROUP LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/1993

SIE

Date: 10/9/2017

Series 3

Date: 11/9/1993

Series 7

Date: 11/1/1993

FINRA

Current Firm

HIVE RETIREMENT PLANNING

Contact information

Documents

Red Flags

Company Information

HIVE RETIREMENT PLANNING

TRUST BUT VERIFY

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