Francis J. Mcmullin
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.
Francis Joseph Mcmullin JR, who also goes by Frank Mcmullin Jr, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1969. Francis had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 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
October 1, 2008 - March 1, 2023
CADARET, GRANT & CO., INC.
August 4, 1998 - March 1, 2023
CADARET, GRANT & CO., INC.
September 29, 1997 - August 19, 1998
LPL FINANCIAL LLC
June 17, 1987 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 10, 1985 - July 6, 1987
EXETER SECURITIES CORPORATION
August 14, 1984 - November 1, 1985
CARDELL & ASSOCIATES, INCORPORATED
April 1, 1974 - July 2, 1977
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
December 1, 1972 - July 26, 1984
GIRARD INVESTMENT SERVICES, LLC
February 7, 1972 - November 19, 1972
DELPHI CAPITAL CORP
July 9, 1971 - May 27, 1972
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 29, 1971 - February 14, 1972
CAPITAL PLANNING ASSOCIATES INC
December 3, 1969 - September 7, 1971
SIGNATOR INVESTORS, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 11/24/1969
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
