FM
Frederick A. Mcmullen
MORGAN STANLEY DISTRIBUTION
New York, NY 10036
Some features on this profile are disabled
CRD#: 2537409
FM
Professional summary
Frederick Allen Mcmullen, who also goes by Frederick Mcmillen, is a registered financial professional currently at MORGAN STANLEY DISTRIBUTION, INC. located in New York, New York.
Frederick is registered as a RR (Registered Representative) and started their career in finance in 1994. Frederick has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Frederick Mcmillen
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.
CRS (Client Relationship Summary) - BD
Click below to view Frederick Allen Mcmullen'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®
NoneExperience
Current
September 8, 2010 - Present
MORGAN STANLEY DISTRIBUTION, INC.
Office #1: 1585 Broadway, New York, NY 10036BD
CRD#: 30344
New York, NY
Past
August 19, 2002 - September 9, 2010
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
October 18, 1994 - November 29, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(9/8/2010)
RR
Alaska(9/8/2010)
RR
Arizona(9/8/2010)
RR
Arkansas(9/8/2010)
RR
California(9/8/2010)
RR
Colorado(9/8/2010)
RR
Connecticut(9/8/2010)
RR
Delaware(9/8/2010)
RR
District of Columbia(9/8/2010)
RR
Florida(9/8/2010)
RR
Georgia(9/8/2010)
RR
Hawaii(9/8/2010)
RR
Idaho(9/8/2010)
RR
Illinois(9/8/2010)
RR
Indiana(9/8/2010)
RR
Iowa(9/8/2010)
RR
Kansas(9/8/2010)
RR
Kentucky(9/8/2010)
RR
Louisiana(9/8/2010)
RR
Maine(9/8/2010)
RR
Maryland(9/8/2010)
RR
Massachusetts(9/8/2010)
RR
Michigan(9/8/2010)
RR
Minnesota(9/8/2010)
RR
Mississippi(9/8/2010)
RR
Missouri(9/8/2010)
RR
Montana(9/8/2010)
RR
Nebraska(9/8/2010)
RR
Nevada(9/8/2010)
RR
New Hampshire(9/8/2010)
RR
New Jersey(9/8/2010)
RR
New Mexico(9/8/2010)
RR
New York(9/8/2010)
RR
North Carolina(9/8/2010)
RR
North Dakota(9/8/2010)
RR
Ohio(9/8/2010)
RR
Oklahoma(9/8/2010)
RR
Oregon(9/8/2010)
RR
Pennsylvania(9/8/2010)
RR
Puerto Rico(9/8/2010)
RR
Rhode Island(9/8/2010)
RR
South Carolina(9/8/2010)
RR
South Dakota(9/8/2010)
RR
Tennessee(9/8/2010)
RR
Texas(9/8/2010)
RR
Utah(9/8/2010)
RR
Vermont(9/8/2010)
RR
Virginia(9/8/2010)
RR
Washington(9/8/2010)
RR
West Virginia(9/8/2010)
RR
Wisconsin(9/8/2010)
RR
Wyoming(9/8/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MS
MORGAN STANLEY DISTRIBUTION, INC.
MAS FUND DISTRIBUTION, INC. | MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1585 Broadway, New York, NY 10036
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(212) 296-7860
Established
Pennsylvania since 02/28/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
