John Jeffrey Mullen
Professional Summary
John Jeffrey Mullen, who also goes by John Jeff Mullen, Jeff Mullen, is a registered financial advisor currently at WESTCAP MARKETS, LLC located in Rye Beach, New Hampshire. John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Jeff Mullen, Jeff Mullen
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
25 years in the financial services industry
Current & Past Employments
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Current Firm
WESTCAP MARKETS, LLC
Contact Information
Main Address
25 Church Road, Rye Beach, NH 03871Mailing Address
25 Church Road, Rye Beach, NH 03871Phone Number
(917) 834-1136Established
Delaware since 10/20/2021Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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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MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Dec 2022About the Series 79TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2008About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2007About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Jeffrey Mullen's CRS (Customer Relationship Summary).
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