John R. Mullen
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 Richard Mullen was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2005 - December 31, 2015
MULLEN WEALTH MANAGEMENT LLC
April 5, 2002 - August 26, 2005
FSC SECURITIES CORPORATION
February 25, 2002 - August 26, 2005
FSC SECURITIES CORPORATION
April 11, 2000 - February 20, 2002
MML INVESTORS SERVICES, LLC
March 9, 1999 - March 29, 2000
OSAIC WEALTH, 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
MULLEN WEALTH MANAGEMENT LLC
CRD#: 135329 / SEC#:
Contact information
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.
