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RM

Robert C. Mullin

Some features on this profile are disabled
CRD#: 3266968
RM

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.

Robert Clay Mullin Jr, who also goes by Clay Mullin, Robert Clay Mullin Jr, Robert Clay Mullin, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1999. Robert had worked at 6 firms and has passed the Series 63, Series 79TO, Series 6TO, SIE, Series 34, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clay Mullin | Robert Clay Mullin Jr | Robert Clay Mullin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 8, 2021 - September 27, 2024

ALTRUIST FINANCIAL LLC

BD
CRD#: 299274
DALLAS, TX
Past

June 4, 2020 - August 30, 2021

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

October 19, 2011 - May 22, 2020

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL
Past

December 6, 2006 - October 10, 2011

PENSON FINANCIAL SERVICES, INC.

BD
CRD#: 25866
DALLAS, TX
Past

July 28, 1999 - February 7, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 28, 1999 - February 7, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/2/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 3/14/2012
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 2/10/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/5/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/27/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2008
General Securities Principal Examination

Current Firm

AF
ALTRUIST FINANCIAL LLC
ALTRUIST | ALTRUIST FINANCIAL LLC | ALTRUIST CLEARING

CRD#: 299274 / SEC#: , 8-70244

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

Main Address
300 S. Pearl Expressway Suite 250, Dallas, TX 75201
Mailing Address
300 S. Pearl Expressway Suite 250, Dallas, TX 75201
Phone number
(888) 510-4660
Established
Delaware since 10/08/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALTRUIST CORPMEMBER
BAHADORI, MAZI [NMN]CEO AND CCO5749453
GEARHART, JEFFREY SPRINCIPAL OPERATIONS OFFICER2443490
GIRALDO, ANDRES MAURICIOFINOP7097178
MENNOW, ROBERT ALLISONHEAD OF ADVISOR OPERATIONS3070390
WARNER, WESLEY DEESENIOR DIRECTOR OF ADVISOR OPERATIONS5584384

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

ALTRUIST FINANCIAL LLC

CRD#: 299274

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