John B. 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 Brian Mullin, who also goes by John Mullin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 8 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2014 - June 1, 2015
FIRST LIBERTIES FINANCIAL
October 5, 2009 - February 2, 2012
TICONDEROGA SECURITIES LLC
October 3, 2007 - June 1, 2009
PALI CAPITAL, INC.
September 22, 2004 - September 10, 2007
MACQUARIE CAPITAL (USA) INC.
May 20, 2002 - September 17, 2004
BLAYLOCK & COMPANY, INC.
March 9, 2002 - May 2, 2002
RBC CAPITAL MARKETS, LLC
October 1, 2000 - September 13, 2001
FREEDOM SPECIALIST, INC
November 11, 1997 - March 9, 2002
TUCKER ANTHONY INCORPORATED
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
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
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.
