Joel R. Mullett
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.
Joel Roe Mullett, who also goes by Joel R Mullett, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1998. Joel had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2014 - March 28, 2017
J.P. MORGAN SECURITIES LLC
October 23, 2009 - September 15, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 1, 2005 - October 2, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 18, 2005 - December 1, 2005
BROWNCO, LLC
March 10, 2004 - July 27, 2005
MSI FINANCIAL SERVICES, INC.
April 24, 2003 - July 27, 2005
NEW ENGLAND SECURITIES
October 28, 2002 - July 27, 2005
METROPOLITAN LIFE INSURANCE COMPANY
October 14, 2002 - August 5, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
January 4, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
June 23, 2000 - July 28, 2005
WALNUT STREET SECURITIES, INC.
May 18, 2000 - June 19, 2000
IDS LIFE INSURANCE COMPANY
May 18, 2000 - June 19, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
April 3, 1998 - April 15, 1999
DWS DISTRIBUTORS, INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
