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Edward Scott Mullins

CRD# 4146758·Registered 2000 - 2013
Previously Registered: Being a previously registered professional could mean that Edward 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.

Professional Summary

Edward Scott Mullins, who also goes by Scott Mullins, was a registered financial advisor. Edward was a previously registered financial professional and started their career in finance 2000 - 2013. Edward had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Scott Mullins

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

EXECUTION ACCESS, LLC·CRD# 148423
BD
New York, NY
April 4, 2012 - September 12, 2013
PENSON FINANCIAL SERVICES, INC.·CRD# 25866
BD
Dallas, TX
November 11, 2009 - March 26, 2012
PENSON FINANCIAL SERVICES, INC.·CRD# 25866
BD
Dallas, TX
November 20, 2007 - January 23, 2009
TD AMERITRADE, INC.·CRD# 7870
BD
Fort Worth, TX
July 17, 2006 - January 9, 2007
HILLTOP SECURITIES INC.·CRD# 6220
BD
Dallas, TX
July 30, 2004 - January 19, 2006
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Dallas, TX
April 20, 2004 - August 4, 2004
HILLTOP SECURITIES INC.·CRD# 6220
BD
Dallas, TX
August 15, 2002 - March 14, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
October 23, 2000 - January 17, 2002
HILLTOP SECURITIES INC.·CRD# 6220
BD
Dallas, TX
April 26, 2000 - August 21, 2000

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Current Firm

EA
EXECUTION ACCESS, LLC

EXECUTION ACCESS, LLC

CRD#: 148423 / SEC#: 8-68021
BD
Terminated by SEC on 02/05/2023

Contact Information

Established

Delaware since 06/09/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEWEB MARKETS LLCOWNER—
AMEN, CHRISTOPHERCEO4672544
COTTER, RICHARD JOSEPHCFO1611037
GALINDO, JORGE ALBERTOPOO2501261
SULLIVAN, MICHAEL FRANCISCHIEF COMPLIANCE OFFICER3254037

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2000About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2004

Series 7 — General Securities Representative Examination

Passed Apr 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2006About the Series 24 exam

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CRS (Client Relationship Summary)

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

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