Matthew J. Mullane
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.
Matthew Joseph Mullane was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1995. Matthew had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2014 - March 9, 2015
KESTRA INVESTMENT SERVICES, LLC
June 26, 2014 - March 9, 2015
KESTRA INVESTMENT SERVICES, LLC
October 4, 2012 - June 25, 2014
FEG
June 30, 2008 - April 5, 2012
SYMMETRY PARTNERS
April 20, 2006 - January 2, 2008
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
September 5, 2005 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
May 5, 2005 - January 2, 2008
AMUNDI DISTRIBUTOR US, INC.
April 15, 2003 - May 12, 2005
TOWER SQUARE SECURITIES, INC.
April 17, 1996 - January 11, 2000
MORGAN STANLEY DW INC.
August 2, 1995 - January 31, 1996
METROPOLITAN LIFE INSURANCE COMPANY
August 2, 1995 - January 31, 1996
MSI FINANCIAL SERVICES, 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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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