Edward S. Mullins
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.
Edward Scott Mullins, who also goes by Scott Mullins, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 6 firms and has passed the Series 63, Series 55, Series 7 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
April 4, 2012 - September 12, 2013
EXECUTION ACCESS, LLC
November 11, 2009 - March 26, 2012
PENSON FINANCIAL SERVICES, INC.
November 20, 2007 - January 23, 2009
PENSON FINANCIAL SERVICES, INC.
July 17, 2006 - January 9, 2007
TD AMERITRADE, INC.
July 30, 2004 - January 19, 2006
HILLTOP SECURITIES INC.
April 20, 2004 - August 4, 2004
1ST GLOBAL CAPITAL CORP.
August 15, 2002 - March 14, 2003
HILLTOP SECURITIES INC.
October 23, 2000 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 2000 - August 21, 2000
HILLTOP SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 9/1/2004
Limited Representative-Equity Trader ExamCurrent Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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