Sean P. 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.
Sean Peter Mullen, CFP® was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1999. Sean had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
Start date: 2022
Experience
July 26, 2022 - June 17, 2025
PLAN TO INVEST CAPITAL MANAGEMENT, INC.
May 16, 2018 - May 31, 2018
M HOLDINGS SECURITIES, INC.
May 16, 2018 - May 31, 2018
M HOLDINGS SECURITIES, INC.
August 25, 2008 - August 26, 2016
M HOLDINGS SECURITIES, INC.
May 23, 2008 - August 26, 2016
M HOLDINGS SECURITIES, INC.
September 2, 2004 - January 23, 2007
EQUITABLE ADVISORS, LLC
May 16, 2001 - December 31, 2002
CARILLON INVESTMENTS, INC.
December 11, 2000 - December 31, 2002
CARILLON INVESTMENTS, INC.
June 24, 1999 - August 30, 2000
LOCUST STREET SECURITIES, 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
PLAN TO INVEST CAPITAL MANAGEMENT, INC.
CRD#: 153726 / SEC#: 801-71427
Contact information
Regulatory assets under management
| Total Number of Accounts | 143 |
| AUM (Assets Under Management) | $ 15,293,891 |
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.
