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SM

Sean P. Mullen

WESTPAC CAPITAL MARKETS
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 3223920
SM

Professional summary

Sean Patrick Mullen, who also goes by Sean P Mullen, is a registered financial professional currently at WESTPAC CAPITAL MARKETS LLC located in New York, New York.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2002. Sean has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean P Mullen

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) - BD

Click below to view Sean Patrick Mullen's CRS (Customer Relationship Summary).

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

Current

December 1, 2022 - Present

WESTPAC CAPITAL MARKETS LLC

Office #1: 390 Park Avenue 14th Floor, New York, NY 10022
BD
CRD#: 164763
NEW YORK, NY
Past

August 30, 2021 - September 14, 2022

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

March 18, 2013 - August 6, 2021

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

March 9, 2011 - February 11, 2013

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 10, 2009 - February 4, 2011

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

May 17, 2007 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 6, 2002 - February 23, 2007

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(12/1/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WC
WESTPAC CAPITAL MARKETS LLC
WESTPAC CAPITAL MARKETS LLC

CRD#: 164763 / SEC#: , 8-69113

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
390 Park Avenue 14th Floor, New York, NY 10022
Mailing Address
390 Park Avenue 14th Floor, New York, NY 10022
Phone number
(212) 551-1800
Established
Delaware since 06/07/2012
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
WESTPAC CAPITAL MARKETS HOLDING CORPORATIONMEMBER
BROWN, STUART JOHNBOARD MEMBER7382811
GLYNN, MICHAEL GERARDCHIEF FINANCIAL OFFICER3219445
GORMAN, DENNISELECTED MEMBER6089133
LOGAN-POWELL, JACQUELINE KATEELECTED MEMBER7847135
MASOR, JEFFREY LAWRENCEAML OFFICER6500490
PORTES, SUSAN LIFSEYCHIEF COMPLIANCE OFFICER1925615
VAN DER GRIEND, MARKCEO, ELECTED MEMBER2319152

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.

Company Information

WESTPAC CAPITAL MARKETS LLC

CRD#: 164763New York, NY 10022

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