Sean S. Mullen

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CRD#: 2740268

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.

Sean Stephen Mullen was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 1996. Sean had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 21, 2016 - August 8, 2018

FDX ADVISORS, INC.

RIA

CRD#: 104601

Secaucus, NJ

Past

July 11, 2011 - August 1, 2016

ENVESTNET PMC

RIA

CRD#: 111694

CHICAGO, IL

Past

July 5, 2011 - August 1, 2016

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

September 19, 2006 - February 23, 2011

FORTIGENT SECURITIES COMPANY, LLC.

CRD#: 46022

ROCKVILLE, MD

Past

June 12, 2006 - February 23, 2011

FORTIGENT, LLC

RIA

CRD#: 138164

ROCKVILLE, MD

Past

December 14, 2001 - June 12, 2006

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

RIA

CRD#: 107659

ROCKVILLE, MD

Past

April 5, 2000 - June 16, 2006

FORTIGENT SECURITIES COMPANY, LLC.

CRD#: 46022

ROCKVILLE, MD

Past

January 24, 1997 - June 30, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 18, 1996 - December 11, 1996

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FDX ADVISORS, INC.

CRD#: 104601 / SEC#: 801-29775

RIA

Registered Investment Advisory firm - (7/2/1987 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2001

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/27/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/27/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/17/1996

General Securities Representative Examination

Current Firm

FDX ADVISORS, INC.

CRD#: 104601 / SEC#: 801-29775

RIA

Registered Investment Advisory firm - (7/2/1987 Approved)

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Contact information

Main Address

222 N. Lasalle St., Suite 625, Chicago, IL 60601

Mailing Address

1000 Chesterbrook Blvd, Suite 250, Berwyn, PA 19312

Phone number

(312) 827-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FDX ADVISORS FORM ADV PART 2A (12/8/2025)

Regulatory assets under management

Total Number of Accounts	5,003
AUM (Assets Under Management)	$ 926,084,276

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.

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Advisor Monitoring

Firm Stability Insights

Sean S. Mullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ENVESTNET PMC

PORTFOLIO BROKERAGE SERVICES, INC.

FORTIGENT SECURITIES COMPANY, LLC.

FORTIGENT, LLC

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

FORTIGENT SECURITIES COMPANY, LLC.

CETERA WEALTH SERVICES, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FDX ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2001

Series 65

Date: 6/27/1996

Series 63

Date: 6/27/1996

SIE

Date: 8/1/2016

Series 31

Date: 6/27/1996

Series 7

Date: 6/17/1996

Current Firm

FDX ADVISORS, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FDX ADVISORS, INC.

TRUST BUT VERIFY

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