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SM

Shane A. Mullen

Some features on this profile are disabled
CRD#: 4282223
SM

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.

Shane August Mullen was a registered financial professional .

Shane is a previously registered financial professional and started their career in finance in 2000. Shane had worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 28, 2015 - March 5, 2019

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
Mandeville, LA
Past

January 2, 2015 - February 14, 2019

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
MANDEVILLE, LA
Past

November 10, 2008 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA
CRD#: 127236
NEW ORLEANS, LA
Past

November 10, 2008 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
NEW ORLEANS, LA
Past

July 31, 2003 - November 4, 2008

AMERIPRISE ADVISOR SERVICES, INC.

RIA
CRD#: 5979
NEW ORLEANS, LA
Past

January 7, 2002 - November 4, 2008

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
NEW ORLEANS, LA
Past

November 20, 2000 - July 19, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
IAR
Series 66
Date: 12/7/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/27/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 11/17/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/28/2018
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/2/2009
General Securities Principal Examination

Current Firm

CO
CAPITAL ONE ADVISORS, LLC
CAPITAL ONE ADVISORS, LLC | SPARK 401K | SHAREBUILDER ADVISORS, LLC | SHAREBUILDER 401K

CRD#: 136865 / SEC#: 801-64662

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Contact information

Main Address
1750 Tysons Blvd 6th Floor, Mclean, VA 22102
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CAPITAL ONE INVESTING 401K SERVICES BROCHURE 4.01.19 (3/29/2019)

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

CAPITAL ONE ADVISORS, LLC

CRD#: 136865

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