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Thomas J. Mullen

BREAKWATER CAPITAL GROUP
DEDHAM, MA 02026
Some features on this profile are disabled
CRD#: 4386056
TM

Professional summary

Thomas Jeremiah Mullen is a registered financial advisor currently at BREAKWATER CAPITAL GROUP located in Dedham, Massachusetts.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Thomas Jeremiah Mullen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 14, 2023 - Present

BREAKWATER CAPITAL GROUP

Office #1: 3 Allied Drive Suite 303, Dedham, MA 02026
RIA
CRD#: 321097
DEDHAM, MA
Past

July 13, 2018 - January 24, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

January 13, 2004 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BOSTON, MA
Past

March 21, 2003 - January 23, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

January 14, 2002 - March 25, 2003

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BC
BREAKWATER CAPITAL GROUP
BREAKWATER CAPITAL GROUP | BREAKWATER CAPITAL PARTNERS

CRD#: 321097 / SEC#: 801-125704

RIA
Registered Investment Advisory firm - (5/19/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Massachusetts
(8/9/2023)
IAR
New Jersey
(10/25/2024)
IAR
Texas
(7/14/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/28/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/11/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/2/2011
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/3/2011
General Securities Sales Supervisor - General Module Examination

Current Firm

BC
BREAKWATER CAPITAL GROUP
BREAKWATER CAPITAL GROUP | BREAKWATER CAPITAL PARTNERS

CRD#: 321097 / SEC#: 801-125704

RIA
Registered Investment Advisory firm - (5/19/2022 Approved)
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Contact information

Main Address
140 E. Ridgewood Avenue Suite 415, Paramus, NJ 07652
Mailing Address
Phone number
(551) 342-3733
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

10 16 2025 BCG FORM ADV PART 2A AND 2B FINAL (10/16/2025)

Regulatory assets under management

Total Number of Accounts1,124
AUM (Assets Under Management)$ 843,365,609

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

BREAKWATER CAPITAL GROUP

CRD#: 321097Dedham, MA 02026

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